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How do I file Form 144?

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    Mike

    UPDATE!

    The SEC has mandated in Updating EDGAR Filing Requirements and Form 144 Filings that all Form 144 filings (except for non-reporting company securities) must be filed electronically with a compliance date of April 13, 2023. This form type was previously allowed to be filed electronically in text or HTML format but as of the EDGAR 22.3 release on September 19, 2022, this has changed to an XML based format filed on the OnlineForms site.

    In order to maintain support for Form 144 in Wdesk as well as allow filings from new paper customers, Workiva has transitioned to the new XML format. Similar to forms 13F-HR and 24F-2NT, the filing process involves a specially formatted Spreadsheet which is added to the filing as the primary filing document. You can request this file for import here.

    Form 144 also allows exhibits COVER, CORRESP, EX-5.1, EX-24, EX-99, and GRAPHIC so if a filer needs to file a Power Of Attorney or other supporting documents, these may be uploaded into the filing or generated as normal from Wdesk documents.

    We will have additional documentation available soon on our Help site to help walk you through the filing process and how to update the Spreadsheet. Should you have any questions in the interim, don't hesitate to ask. Thanks much, and happy filings!

  • Peter Molnar
    Typically a Form 144 is filed by the broker that executes the transaction.
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  • Mike
    Hi Valerie!

    Form 144s are prepared and filed from within the Wdesk SEC Reporting solution. Only Forms 3, 4 and 5 are handled in the Section 16 module. Sorry for the confusion there.

    If you've not got one started, you can easily create a Form 144 by importing a previously filed version directly from the SEC within Wdesk. While in the Editor, under the 'File' tab, choose Import > From SEC (Beta). Then a pop-up window will appear where you can enter your CIK, the form type and date of filing to choose the form you wish to import. After import, you can edit the form and update it accordingly for the new filing.

    An example form is also available on the SEC, here: https://www.sec.gov/about/forms/form144.pdf

    Should you  have any additional questions, let me know and I'll be happy to help. Thanks for the question and have a great day in the meantime!
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