The SEC has reminded affected filers about the April 13, 2023 compliance deadline for transitioning from paper filing to electronic filing for Form 144. In accordance with the SEC’s June 2022 adopted amendments concerning EDGAR filing requirements, certain Form 144 filings must be made on the SEC’s EDGAR system, for which filers must ensure that they have an account. The electronic filing requirement applies to all Form 144 filings except for related to securities of issuers that do not file 1934 Act reports with the SEC on EDGAR.
Issuers who do not have an EDGAR account may apply for EDGAR access on the SEC’s website and are encouraged to do so as soon as possible in order to be prepared for compliance on April 13, 2023. The SEC also advises those seeking EDGAR access to allow sufficient time as applications are not automatically granted and staff may have questions about submitted applications.
Additionally, the SEC has made available the Form 144—Resources for Filing Electronically webpage, which helps both Form 144 filers and filing agents apply for access to EDGAR and assists in the preparation and submission of electronic Form 144. Issuers may also call EDGAR Filer Support for more details at (202) 551-8900 (choose option 3). Issuers who are unsure if they are required to file a Form 144 should contact the Division of Corporation Finance’s Chief Counsel Office at (202) 551-3500.
As a reminder, the GoFiler family of products and GoFiler Online both already support the electronic version of Form 144. Feel free to contact support with any questions.