Form 144 Transaction Feed¶
General Information¶
VertiyData’s Form 144 database contains Proposed and Actual Sale transactions disclosed on Form 144. The Form 144 feed provides visibility into proposed sales by insiders and others, and valuable insight into the actual sales of Foreign Filers that do not have to disclose sales on Form 4.
Point-in-time Data Availability¶
We began processing Form 144s in real-time in April 2023 when the SEC required that all Form 144s be filed electronically through the EDGAR system. The feed only includes electronically filed 144s. All form 144 data available is Point-in-time.
Additional Point-in-time notes¶
- Updates to company-related fields (ticker, cusip, company_name, etc.) do not trigger updates in the feed, only updates to transaction specific fields trigger an update.
- Company-related fields are as of the asof field, not the original insert, meaning values such as ticker, cusip, etc. may change when comparing an initial insert to a later update for the same txnid. (e.g. a transaction with ticker "FOO" at insert will show as "BAR" on subsequent updates if the company's ticker changed between the two asof dates. The original insert will always show "FOO", however.)
- Not all fields are available with point-in-time accuracy. Please see the Data Dictionary for more information.
Data Dictionary¶
| Heading | Description |
|---|---|
| ticker | Ticker of the company. Tickers in [square brackets] indicate de-listed or inactive companies. |
| company_instrument | We use the filed CUSIP and additional identifier text filers add to the 13F rows to determine the appropriate instrtument type. See this breakdown: |
| Common = 1 | |
| Preferred = 6 | |
| ADR = 7 | |
| Warrant = 8 | |
| Call Option = 9 | |
| Put Option = 10 | |
| Debt = 11 | |
| Exchange Traded Fund = 12 | |
| Mutual Fund = 13 | |
| REIT = 15 | |
| Unknown = 20 | |
| Closed End Fund = 24 | |
| Unit = 25 | |
| cid | VerityData's unique company id. PIT cusips may differ. cid should be used for consistency. cid Should only be NULL in cases where the record was already in the feed when the cid value was removed. Such records will have edit_action = D. |
| cusip | Preferred = 6CUSIP identifier of the company. |
| class_status | Denotes the status of the company at the time of the lastupdate. Useful to exclude posthumous edits to inactive companies from your modeling / testing. |
| company_name | Name of the company. |
| sector | Sector of the company |
| mcap | [Not Point In Time Data] Market Cap of the company as of the filing date. |
| insider_name | Name of the insider. |
| rptcik | SEC assigned unique identifier of the Insider. |
| filer_type | U.S. or Foreign. Foreign filers are required to disclose any sales made during the prior three months on Form 144. These sales do not have to be disclosed on Form 4. |
| position_as_reported | Position title of the insider in the source filing. |
| age | Age of the insider (calculated by using confirmed birthdate). |
| gender | Gender of the insider. |
| disclosure_date | The date that the filing was filed at the SEC. |
| filed_time | The exact date and time in YYYY-MM-DD hh:mm:ss the filing was filed at the SEC. |
| received_time | The exact time in YYYY-MM-DD hh:mm:ss.ssssss that we received the filing, usually within seconds after the File_time above. The date and time listed is generated by our internal servers. This field is NULL for all transactions prior to 2008. NOTE: This field may read earlier than the File_Time field as our server time and the SEC's server time are not synced. |
| txn_date | The date of the transaction. This is the reported approximate date for proposed sales. If an insider has multiple transactions which have been grouped together in a single transaction, we will show the latest date as the transaction date. |
| code | Transaction Type: T = Proposed Sale, U = Sell |
| shares | Amount of shares transacted. |
| value | Dollar value of the transaction. Values for Proposed Sales are as disclosed in the filing. |
| avg_pps | The average price per share of the transaction. Values for Proposed Sales are calculated based on the disclosed dollar value of the transaction. |
| has_10b5 | Returns TRUE if the transaction was made pursuant to Rule 10b5-1. |
| broker_name | Name of the broker |
| broker_address1 | Address of the broker |
| broker_address2 | Address of the broker |
| broker_city | City of the broker |
| broker_state | State of the broker |
| broker_zip | Zip code of the broker |
| txnid | Verity's unique numerical id given to each transaction, this should be considered your Primary Key. |
| last_update | The date of the last update for this entry. |
| form144a_update | Returns TRUE if the transaction had been edited or created due to a Form 144/A. A Form 144/A is filed to fix an error or omission in a previously filed Form 144. |
| edit_action | "U" for update, "D" for delete and "I" for new insert. |
| asof | The date the record appeared in the feed |