Get Sec Rule 701 Sellers Letter

This guide provides a clear and concise walkthrough for completing the SEC Rule 701 Sellers Letter online. Designed for users with varying levels of experience, this resource will help you navigate each section of the form efficiently and accurately.

Follow the steps to complete the SEC Rule 701 Sellers Letter effectively.

1. Click ‘Get Form’ button to obtain the SEC Rule 701 Sellers Letter and open it in your preferred online document editor.
2. In the first section, fill out the account owner(s) information. This should include the full names as shown on the certificate. Make sure to use CAPITAL letters for clarity.
3. Proceed to the certification section. Here, you will indicate the number of shares you are selling and the company name. Ensure that the details match the information provided in your employee compensatory benefit plan.
4. Within the same section, complete the statements confirming your acquisition of the shares. Provide the name of the plan, date of shares acquired, date payment made for shares, and date of option grant if applicable, using the specified date format.
5. Acknowledge that you have received the employee compensatory benefit plan copies and confirm your current status as not being an officer, director, or 10% shareholder of the company, as per Rule 144(a).
6. Review and confirm each of the certification statements listed. This includes your knowledge of material non-public information and responsibilities related to the sale and any obligations you accept.
7. Sign and date the form in the signatures and dates section. Remember, the form cannot be processed without these signatures. Ensure each account owner or authorized signer completes this step.
8. Once all sections are filled out and signed, you can save your changes, download, print, or share the completed SEC Rule 701 Sellers Letter as needed.

Start completing your SEC Rule 701 Sellers Letter online today to facilitate your securities sale.