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June 2021 144 Market Report

Since April 2020, the SEC began accepting Form 144 filings digitally via email, however the number of filings disseminated has been lower than typically expected. Since email submission has been ongoing for over 12 months, we can resume our normal offering including YoY comparisons and broker rankings. Care should be taken in drawing conclusions from the data that may not yet be complete due to COVID-related disruptions.

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In June, the value of Form 144 filings slid 10% from the prior month. As shown on the graph below, the value of 144s was 125% higher than in June 2020. The number of shares brokered surged by 92% from the prior month, while the total number of filings rose by just 3% from May. The value of 10b5-1 144s fell by 36% from the prior month (see graph below), but rose 57% year-over-year.

Goldman Sachs claimed the top broker title in June, and was boosted by brokering the month’s two largest trades in WMT. Morgan Stanley took second place, and brokered the highest number of filings in June. JP Morgan Chase finished third, and brokered two of the month’s largest filings in CVNA and INFO. Charles Schwab and E*TRADE rounded out the rankings.


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The Washington Service Research Team

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