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.
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