📊 SEC Form 144 Insider Pre-Sale Tracker — Restricted Stock Notifications

When an officer, director, 10%-owner, or other affiliate of a U.S. issuer intends to sell restricted or control securities, they MUST file a Form 144 (Notice of Proposed Sale of Securities — Rule 144) concurrently with placing the order. Form 144 is the leading indicator of Form 4 — insider sales become public BEFORE they happen. The Form 4 reports the executed transaction; the Form 144 reports the intent, typically days earlier. NexGenData ships the Form 4 feed; this actor adds the missing pre-trade signal.

One run gives you every Form 144 filed on EDGAR in the look-back window, fully parsed from the primary XML — issuer + ticker, filer name + relationship, shares to sell, dollar value of the proposed sale, broker, exchange, and a subsequent_form_4_filed boolean that closes the loop once the executed trade hits the tape.

What you get

• Every Form 144 filing on EDGAR in a customisable look-back window (default 30 days, max 365)
• Filer identity + relationship to issuer — the insider's name plus their relationship (officer / director / 10%-owner / affiliate / control person), straight from the filing
• Pre-trade economics — shares to sell, intended sale value in USD (the aggregateMarketValue field), shares outstanding at issuer level, and the implied percent of float
• Intended sale date — the registrant's own approxSaleDate field, parsed to ISO format
• Broker on the other side — the executing broker/market-maker, when the filer plans to use one
• Market or private — whether the sale will hit a public exchange (NASDAQ / NYSE / AMEX / OTC) or be a private placement
• Subsequent Form 4 boolean + date — auto-joined against the issuer's data.sec.gov submissions feed to detect whether the executed Form 4 has hit EDGAR yet (60-day look-ahead window)
• Acquisition origin — when the restricted shares were acquired, nature (open-market / private / gift / stock-option-exercise / RSU vest), and payment nature (cash / other)
• Issuer enrichment — name, CIK, ticker, exchange, SIC code, business state, incorporation state
• Source URL on every row — the actual primary_doc.xml link plus the filing index folder

Direct from SEC EDGAR. No editorial layer. No "top picks" curation. No proprietary scoring.

🎯 Use cases

• Event-driven hedge fund analyst — Form 144 → Form 4 spread is a tradable signal. Pull every Form 144 over $5M intended value, score by relationship (CEO filings carry more weight than 10%-owner), monitor for Form 4 clustering at the issuer level (the "everyone's selling at once" signal that precedes a number of high-profile equity drawdowns).
• Retail investor with an insider-tracking workflow — combine this feed with our SEC Form 4 Insider Trading Tracker to get the full pre/post picture: 144 = intent, 4 = execution. Filter by ticker to monitor specific holdings.
• Corporate governance / proxy advisor — Form 144 disclosures are board-level information rights signals. Track CFO/CEO 144 filings against earnings cycles to flag pattern selling that triggers governance concerns.
• Activist investor / short-seller research — insider 144 filings clustered around quarter-end or just before earnings often signal information asymmetry. Combine with our SEC Form 8-K Material Events Tracker for a complete insider-action feed.

📊 Sample Output

🚀 How to use

Sample input

{
  "ticker_filter": "",
  "min_intended_value": 1000000,
  "days_back": 30,
  "max_filings": 100
}

Default mode: every Form 144 filing on EDGAR in the last 30 days with intended sale value ≥ $1M. Good baseline for monitoring meaningful insider intent across the market.

Targeted ticker watch

{
  "ticker_filter": "RKLB",
  "min_intended_value": 0,
  "days_back": 90,
  "max_filings": 200
}

Returns every Form 144 filed for Rocket Lab in the last 90 days, regardless of dollar value. Useful for retail investors tracking specific holdings.

Sample output (one row)

{
  "form_type": "144",
  "company": "NETSCOUT SYSTEMS INC",
  "cik": "1078075",
  "ticker": "NTCT",
  "exchange": "Nasdaq",
  "sic": "7372",
  "sic_description": "Services-Prepackaged Software",
  "biz_state": "MA",
  "inc_state": "DE",
  "biz_location": "Westford, MA",
  "sec_file_number": "001-33147",
  "accession_number": "0002090999-26-000005",
  "filer_cik": "2090999",
  "filer_name": "Anil K. Singhal",
  "filer_relationship": "Officer; Director",
  "filing_date": "2026-05-29",
  "intended_sale_date": "2026-06-02",
  "shares_to_sell": 50000,
  "intended_sale_value_usd": 1245000.00,
  "shares_outstanding": 71500000,
  "percent_of_shares_outstanding": 0.0699,
  "security_class": "Common Stock",
  "broker": "Morgan Stanley Smith Barney LLC",
  "securities_exchange_name": "NASDAQ",
  "market_or_private": "NASDAQ",
  "acquired_date": "2018-08-15",
  "nature_of_acquisition": "Stock Option Exercise",
  "is_gift_transaction": false,
  "nature_of_payment": "Cash",
  "signature": "Anil K. Singhal",
  "notice_date": "2026-05-29",
  "subsequent_form_4_filed": true,
  "subsequent_form_4_date": "2026-05-30",
  "subsequent_form_4_accession": "0001127602-26-019847",
  "filing_url": "https://www.sec.gov/Archives/edgar/data/2090999/000209099926000005/primary_doc.xml",
  "filing_index_url": "https://www.sec.gov/Archives/edgar/data/2090999/000209099926000005/",
  "source": "SEC EDGAR — efts.sec.gov + data.sec.gov submissions"
}

Python (apify-client)

from apify_client import ApifyClient

client = ApifyClient("YOUR_APIFY_TOKEN")
run = client.actor("nexgendata/sec-form-144-restricted-stock-sales-tracker").call(
    run_input={
        "ticker_filter": "",
        "min_intended_value": 5000000,
        "days_back": 30,
        "max_filings": 200,
    }
)
for row in client.dataset(run["defaultDatasetId"]).iterate_items():
    print(
        row["ticker"], row["filer_name"], row["filer_relationship"],
        row["intended_sale_value_usd"], row["filing_date"],
    )

cURL

curl "https://api.apify.com/v2/acts/nexgendata~sec-form-144-restricted-stock-sales-tracker/run-sync-get-dataset-items?token=YOUR_APIFY_TOKEN" \
  -H "Content-Type: application/json" \
  -d '{"ticker_filter":"","min_intended_value":1000000,"days_back":30,"max_filings":100}'

🔗 Related Actors — NexGenData SEC Suite

This actor is part of the largest SEC/EDGAR coverage on Apify Store. Pair it with:

• SEC Form 4 Insider Trading Tracker — the EXECUTED side of every Form 144. Pair the two feeds to compute Form 144 → Form 4 spreads.
• SEC Form 13F Holdings Tracker — Hedge Fund Filings — quarterly equity positions for hedge funds, mutual funds, and family offices.
• SEC Form D Scraper — private placement / Reg D capital-raise notices.
• SEC Form 8-K Material Events Tracker — real-time material-event filings (M&A, restatements, departures, financings).
• SEC Litigation Releases — Enforcement Tracker — SEC civil enforcement actions and settlements.

Browse the full 350+ actor catalog at apify.com/nexgendata.

⚖️ Legal & data-source notes

• Public records only. Form 144 is filed under SEC Rule 144 of the Securities Act of 1933 and is published for programmatic access via EDGAR. Same for the data.sec.gov submissions API.
• Polite SEC client. User-Agent: NexGenData SEC Form 144 Actor hello@thenextgennexus.com on every request per SEC fair-access policy. ~6 req/sec throttle (well under EDGAR's 10/s cap). 3-retry × 12s backoff on transient EDGAR 5xx — datacenter IPs sometimes 500 on first hit, documented behaviour.
• Form 144 vs Form 4. Form 144 is the notice of INTENT to sell (filed when placing the order). Form 4 is the disclosure of the EXECUTED sale (filed within 2 business days). Not every Form 144 results in a Form 4 — sometimes the intended sale is cancelled, delayed, or the broker doesn't execute. The subsequent_form_4_filed flag uses a 60-day look-ahead window.
• Subsequent Form 4 detection caveats. Matching uses the issuer's submissions feed for Form 4 filings dated on or after the Form 144 date. Because the submissions feed lags by 1-2 days, a very recently filed Form 4 may briefly read subsequent_form_4_filed: false — re-run the actor the next day. The match is at the issuer level (not the individual filer level), so if multiple insiders at the same issuer file Form 144s in the same week, the subsequent_form_4_accession may not correspond to the exact filer — verify against the filer name in the Form 4 source.
• Historical Form 144 coverage. Electronic Form 144 filing has been MANDATORY since 2023. Pre-2023 Form 144 filings were largely on paper and are not consistently in EDGAR. The actor scopes itself to the EDGAR full-text index — the practical coverage horizon is mid-2023 onwards. The days_back cap of 365 days reflects the active monitoring window.
• Market vs private classification. The market_or_private field is derived from the filing's own securitiesExchangeName field. If the registrant lists NASDAQ/NYSE/AMEX/OTC, we surface that verbatim. If the field is blank or "None", we tag private_or_unknown.

❓ FAQ

Q: How is this different from raw EDGAR FTS? A: EDGAR's full-text search returns a list of accession numbers. This actor parses the primary primary_doc.xml for every field (filer name, relationship, shares, value, broker, exchange), normalises the schema, joins the issuer submissions feed for ticker enrichment, and detects whether the corresponding Form 4 has hit EDGAR — all in one row.

Q: Why does subsequent_form_4_filed matter? A: It separates "intended sale" from "executed sale." Insiders sometimes file a Form 144 and then cancel — the absence of a follow-up Form 4 30-60 days later is itself a signal. Conversely, a clean Form 144 → Form 4 match within a few days confirms execution.

Q: Are 10b5-1 plan sales included? A: Yes — most Form 144 filings disclose 10b5-1 plan participation in the broker section. Look for "10b5-1" mentions in the broker or filer fields; we surface them verbatim.

Q: Can I run this on a schedule? A: Yes. A daily scheduled run with days_back=2 keeps an always-current Form 144 stream. A weekly run with days_back=7 is sufficient for most monitoring workflows.

Q: What's the typical row count? A: At U.S. equity market scale, EDGAR receives ~3,000-6,000 Form 144 filings per month — concentrated around earnings-window and 10b5-1 plan activation dates. A 30-day run at default $1M minimum typically returns 800-1,500 rows.

Q: Does this cover Form 144 for issuers' own buybacks? A: No — Form 144 is filed by AFFILIATES selling. Issuer buybacks are disclosed via Form 4 (Section 16 reporting) and on the issuer's 10-K/Q. Use our SEC Form 4 Insider Trading Tracker for those.

🏷️ About NexGenData

NexGenData ships a deep regulator-direct catalog on Apify Store: SEC EDGAR, FINRA, EUIPO, WIPO, USPTO, DOL, FDA, CISA, CFTC, SAM.gov, plus 150+ other public-data actors. Every actor is per-event priced, source-attributed, and built for auditable enterprise workflows.

Contact hello@thenextgennexus.com for volume pricing on 10K+ records/month insider-tracking workflows.