How do I file a Form 144 with Toppan Merrill?
For full-service processing of Form 144, complete the applicable Form 144 worksheet below and email the completed worksheet to your local Customer Service site for processing:
For online, self-service filings of the Form 144, leverage the Toppan Merrill SEC Connect SaaS platform.
When must Form 144 be filed?
Form 144 must be filed with the SEC by an affiliate as a notice of the proposed sale of securities when the amount to be sold under Rule 144 during any three-month period exceeds 5,000 shares or units or has an aggregate sales price in excess of $50,000.
What is the filing deadline for a Form 144 to receive ‘today’s date’?
As of March 20, 2023, the SEC deems a Form 144 submission made from 6–10 pm to be filed the same business day. These filings also will be made available on SEC.gov the same day. EDGAR is unavailable for filing after 10:00 pm ET and all transmissions after that time will have to be submitted the next business day.
Additional resources:
SEC’s Form 144 Resources for Filing Electronically: https://www.sec.gov/edgar/filer-information/form-144-resources-filing-electronically
Extending Form 144 EDGAR Filing Hours – https://www.sec.gov/rules/final/2023/33-11159.pdf
Updating EDGAR Filing Requirements and Form 144 Filings Final Rule – https://www.sec.gov/rules/final/2022/33-11070.pdf
REVISIONS TO RULES 144 AND 145 Final Rule – https://www.sec.gov/rules/final/2007/33-8869.pdf