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On April 10, 2020, the SEC Division of Corporation Finance issued a statement that it will not recommend enforcement action if Forms 144 are filed by email rather than by delivering paper copies to the SEC, so long as a complete Form 144 is attached to an email as a PDF.  The statement also provides relief if the filer/submitter is unable to provide a manual signature, provided specified procedures are followed.

The statement is the latest in a series providing relief from manual signature and paper filing requirements for the duration of the COVID-19 pandemic and applies to Forms 144 submitted from April 10 to June 30, 2020.

If you have any questions, please contact Gunster securities law and corporate governance practice leader Bob Lamm. For more information on SEC actions relating to COVID-19, please see Gunster’s COVID-19 Resources and Insights Page.

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This publication is for general information only. It is not legal advice, and legal counsel should be contacted before any action is taken that might be influenced by this publication.

About Gunster

Gunster, Florida’s law firm for business, provides full-service legal counsel to leading organizations and individuals from its 12 offices statewide. Established in 1925, the firm has expanded, diversified and evolved, but always with a singular focus: Florida and its clients’ stake in it. A magnet for business-savvy attorneys who embrace collaboration for the greatest advantage of clients, Gunster’s growth has not been at the expense of personalized service but because of it. The firm serves clients from its offices in Boca Raton, Fort Lauderdale, Jacksonville, Miami, Orlando, Palm Beach, Stuart, Tallahassee, Tampa, The Florida Keys, Vero Beach, and its headquarters in West Palm Beach. With nearly 200 attorneys and 200 committed support staff, Gunster is ranked among the National Law Journal’s list of the 500 largest law firms and has been recognized as one of the Top 100 Diverse Law Firms by Law360. More information about its practice areas, offices and insider’s view newsletters is available at www.gunster.com.

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