Example of translating a paper or old EDGAR format Form 144 filing
We will be using this Form 144 filing as a random example.
- Begin by creating a new Form 144 filing.
- Import the spreadsheet template as shown:
- After the import is complete, click Add Documents and select the spreadsheet.
- Begin with the Securities Information sheet (up to 40 are allowed per filing), supplying the required information. The values shown here are in uppercase to match the original filing but mixed case is also acceptable. Note the "A6" State Code for Ontario, Canada. These codes are available at EDGAR State and Country Codes.
- Move to the Securities To Be Sold sheet (up to 40 are allowed per filing, which corresponds to Table 1 in the old Form 144. There are specific formats required for these cells, so Date Acquired of "2021 and 2022" is not permitted in the electronic Form 144. For gifts, the Date Donor Acquired field is required. For non-gifts, the Name of Person from Whom Acquired and Date Acquired fields are required and must be in the specified format. As with the previous table, mixed case letters are acceptable and uppercase is shown here just to match the original filing.
- Move to the Securities Sold In The Last Three Months sheet, which corresponds to Table II in the old Form 144. If there is no data to report, this sheet may be left blank, and up to 200 are allowed per filing. In the original filing, there were two sale events to report, so we will duplicate the sheet to create a second copy and optionally add a date at the end of the sheet name for convenience.
In the original filing, there were two sale events to report, so we will duplicate the sheet to create a second copy and optionally add a date at the end of the sheet name for convenience.
- The spreadsheet is now complete and go to the Filing Experience in the Form 144 filing you created earlier. There are no exhibits in this filing so the Label step will be skipped, but if a Power of Attorney or other exhibit is required, they can be created and EDGARized or uploaded, as usual. Ignore the Return to Collect step text if you are not filing any exhibits.
- The Form Information will be filled in as usual, although note that the Filer Information should be the individual’s CIK and CCC and not the Issuer’s. The contact name, phone number, and email address are redacted from the publicly disseminated filing and are only seen by the SEC. The Issuer and other information is released.
- Enter the company/issuer’s information under issuer information. Since this report has sales to report in the past three months, set the Nothing to report on Securities sold in the past 3 months? box to No.
- If there are any remarks or dates of plan adoption, supply them on the last step. Otherwise, provide the date of notice and signature. The SEC only allows a total of three notification email addresses per filing, including the contact's address.
- The Review step contains the usual summary of filing wizard values, as well as an HTML preview of the filing and a list of any validation errors from the spreadsheet data in JSON format. If there are no errors, an empty [ ] list is displayed. If there are errors shown, they must be addressed in the spreadsheet and the filing repackaged prior to submitting the filing.
