File Form 144 Electronically

Certain Forms 144 Must Be Filed Electronically On EDGAR

On June 2, 2022, the SEC adopted amendments that require the electronic filing of Form 144 related to the sale of securities of an issuer subject to the reporting requirements under Section 13 or 15(d) of the Securities Exchange Act of 1934. Compliance with the requirements took effect on April 13, 2023.

Electronic filing of Form 144 must be made on the SEC’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

The Reporting Person Must Have an EDGAR Account

A reporting person, as defined by Rule 144(a)(2) of the Securities Act of 1933, who is required to file Form 144 electronically, must have an account on the SEC’s EDGAR system.

If the reporting person has an EDGAR account, the account will be identified by a unique number assigned by EDGAR. This unique number is known as the Central Index Key or “CIK” number. The terms “EDGAR account,” “EDGAR CIK account,” “CIK account,” and “CIK” all have the same meaning.

• To determine if a reporting person already has an EDGAR CIK account, search for the reporting person’s exact name in the EDGAR Company Database.

If the Reporting Person Does Not Have an EDGAR Account

If the reporting person does not have an EDGAR account, complete and submit a Form ID application for a new EDGAR account online on the EDGAR Filer Management website. Follow the requirements of the EDGAR Filer Manual, Volume I, the instructions that accompany Form ID, and How Do I Prepare and Submit my Form ID Application.

Reporting persons who do not have EDGAR accounts should submit the Form ID application as soon as possible to allow sufficient time for staff review and processing of the application prior to the requirement to file Form 144. Please refer to How Do I Prepare and Submit My Form ID Application for EDGAR Access for current Form ID processing times and plan accordingly.

Please be aware that certain information on Parts I and II of Form ID will become publicly available on SEC.gov if the reporting person’s Form ID application is granted.

If Form ID is granted, the SEC will send an email to the account administrators listed on Form ID that includes the new EDGAR CIK account number. The account administrators will need Login.gov individual account credentials to log into the dashboard on the EDGAR Filer Management website to manage the reporting person’s account.

• Refer to How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining individual account credentials instructional video on the SEC's YouTube channel.

The account administrators will manage the reporting person’s account on the dashboard, including by adding users, account administrators and technical administrators, if needed, and delegating authority to file, if desired. Refer to the instructional video Overview of EDGAR Filer Management dashboard on the SEC’s YouTube channel, as well as How Do I Understand EDGAR Next Roles and How Do I Invite, Remove, and Change the Roles of Individuals.

EDGAR Next Changes and Filing Form 144

Reporting Persons Must Comply with EDGAR Next

The SEC adopted changes to EDGAR filer access and account management in September 2024. All filers—including reporting persons—must comply with the EDGAR Next requirements. Please refer to the EDGAR Next—Improving Filer Access and Account Management webpage on SEC.gov for information about EDGAR Next.

Reporting persons should enroll in EDGAR Next by close of business on September 12, 2025 to continue filing on EDGAR uninterrupted. For information, please consult How Do I Enroll in EDGAR Next.

Reporting persons whose Form ID applications are granted on or after March 24, 2025 do not need to enroll.

Reporting persons may continue to enroll until December 19, 2025, but they will not be able to file on EDGAR until they enroll. As of December 22, 2025, reporting persons who have not enrolled or been granted access through a Form ID submitted on or after March 24, 2025 will be required to submit Form ID to regain access to their EDGAR accounts.

You May Continue to File Form 144 As You Do Now Until September 12, 2025

Until EDGAR closes on September 12, 2025, if the reporting person has an existing EDGAR account, you will be able to file the reporting person’s Form 144 according to current EDGAR filing procedures. (If you do not have the reporting person’s EDGAR access codes, please consult How Do I Understand and Utilize EDGAR CIKs, Passphrases, and Access Codes.)

If the reporting person has enrolled in EDGAR Next or the reporting person’s Form ID was granted on or after March 24, 2025, you may choose to file the Form 144 through the EDGAR Submission Application Programming Interface (API). To do so, you must comply with all aspects of EDGAR Next including but not limited to the requirements for use of APIs.

• See Overview of EDGAR APIs, and the API Development Toolkit, for more information about EDGAR Next APIs.
• To submit a Form 144 for a reporting person whose EDGAR account is in compliance with EDGAR Next through an API, you must also:
  1. Have individual account credentials for EDGAR from Login.gov,
     • For information about Login.gov credentials, consult How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining individual account credentials instructional video on the SEC's YouTube channel.
  2. Be an account administrator or user for the reporting person’s EDGAR account (and that account must have an active filer API token), or an account administrator or user for a delegated entity of the reporting person’s EDGAR account (and that account must have an active filer API token),
     • Ask the account administrator(s) for the reporting person’s EDGAR account to invite you as a user or account administrator for the reporting person’s EDGAR account, or to delegate filing permissions to an EDGAR account for which you are a user or account administrator. For more information, see How Do I Invite, Remove, and Change the Roles of Individuals.
       
       and,
  3. Have active filer and user API tokens that you are authorized to use.

See How Do I Understand EDGAR Next Roles and How Do I Invite, Remove, and Change the Roles of Individuals, Understand EDGAR Application Programming Interfaces (APIs), and Create and Manage Filer and User API Tokens.

As of September 15, 2025, the Reporting Person’s Account Must be in Compliance with EDGAR Next to File on EDGAR

As of September 15, 2025, the compliance date for EDGAR Next, the reporting person’s account must comply with EDGAR Next in order for you to file Forms 144 on EDGAR on the person’s behalf. To submit a Form 144 for a reporting person whose EDGAR account is in compliance with EDGAR Next, you must also:

1. Have individual account credentials from Login.gov
   • For information about Login.gov credentials, consult How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining individual account credentials instructional video on the SEC's YouTube channel.
2. Be an authorized account administrator or user for the reporting person’s EDGAR account or an account administrator or user for a delegated entity of the reporting person’s EDGAR account.
   • Ask the account administrator(s) for the reporting person’s EDGAR account to invite you as a user or account administrator for the reporting person’s EDGAR account, or to delegate filing permissions to an EDGAR account for which you are a user or account administrator. For more information, see How Do I Invite, Remove, and Change the Roles of Individuals.

See the information above regarding filing Form 144 through the Submission API and the additional requirements for use of APIs.

Methods of Filing Form 144

Online Fillable Form 144

Form 144 may be submitted by completing an online fillable Form 144 on EDGAR. The form is similar to other EDGAR online fillable forms, such as Forms D, 3, 4, and 5.

• Access, complete, and submit a Form 144 online using the EDGAR OnlineForms Management website.
• Requirements for completing the fillable electronic Form 144 are available in Section 8.1 of the EDGAR Filer Manual, Volume II.

Filer-Constructed XML Form 144

Alternatively, you may submit a filer-constructed XML Form 144 on EDGAR.

• Technical specifications are available on the EDGAR Form 144 XML Technical Specification page on SEC.gov.
• The XML submission may be made through the EDGAR OnlineForms Management website > Transmit XML Submission link.
• Detailed instructions for filer-constructed XML submissions on EDGAR can be found in Volume II of the EDGAR Filer Manual:
  • Preparing and Transmitting EDGARLink Online Submissions, Chapter 7
  • Preparing and Transmitting Online Submissions, Chapter 8
  • Filer-Constructed XML Submissions, Chapter 9

Bulk Filing Multiple Forms 144

Multiple Forms 144 for different reporting persons may be submitted on EDGAR through a bulk filing function. For example, a broker-dealer could bulk file Forms 144 simultaneously on EDGAR for multiple reporting person clients.

• For more information on bulk filing, see Section 7.3.14 of the EDGAR Filer Manual, Volume Il.
• You may make multiple bulk submissions of Form 144 filings using the EDGAR Filing website.

Use The Correct Central Index Key (CIK) Number

Each EDGAR account is assigned a unique number known as a Central Index Key or CIK. The reporting person’s CIK must be entered in the Filer CIK section of the Form 144 as shown below.

If you are an authorized agent of the reporting person—a broker-dealer, law firm, or filing agent—and are submitting a Form 144 on behalf of the reporting person, please enter the reporting person’s CIK in the Filer CIK field. Do not enter the broker dealer, law firm, or filing agent CIK here.

Authorized Agent EDGAR CIK Accounts

As the person employed at the authorized agent (filing agent, broker-dealer, or law firm authorized to file on behalf of the reporting person), you need that entity’s CIK to log into EDGAR to file Form 144 on behalf of the reporting person. The authorized agent is not the “filer,” however, therefore do not enter that entity’s CIK on the reporting person’s Form 144.

The CIK and password of the authorized agent (filing agent, broker-dealer, or law firm authorized to file on behalf of the reporting person) are required for login to EDGAR’s OnlineForms website as shown below.

If the authorized agent does not have an EDGAR CIK account, it must complete and submit Form ID to request an account. On Form ID, append “/FA” to the name of the authorized agent seeking access to EDGAR to distinguish this EDGAR CIK account as a filing agent account (here, “filing agent” is used to include broker-dealers and law firms performing the function of making a filing on behalf of the client reporting person). DO NOT append the name of an employee in the organization to the organization’s name. For example, apply for a filing agent CIK under the name “Company ABC/FA,” NOT “Company ABC – John Doe /FA.”

• A broker-dealer submitting Form 144 on EDGAR as a filing agent on behalf of a reporting person client should also see FAQ #3 below, “Which EDGAR credentials (CIK, CCC) should broker-dealers use for access?”
• An authorized agent may use a different CIK for each operating office or industry group, or for certain categories of filers on whose behalf the authorized agent makes a filing.
• Each authorized agent may login to EDGAR and submit Forms 144 for different reporting persons at the same time.

After you, as the representative of the authorized agent, logs into EDGAR, you will need the following:

• Reporting person CIK and CCC—to be entered in the Filer CIK and Filer CCC portions of Form 144. Note that the reporting person or Filer CIK belongs to the person for whose account the securities are to be sold.
• Issuer CIK—to be entered in the Issuer CIK portion of Form 144. Note that the Issuer CIK belongs to the issuer whose securities are to be sold by the reporting person. Do not use the Filing Agent CIK as the Issuer CIK.

Step-by-Step Guidance For Filing the Online Fillable Form 144 (up through and including Sept. 12, 2025)

Before you begin the process of filing a Form 144, ensure you have the following information:

• The reporting person’s EDGAR account number (CIK) and CIK Confirmation Code (CCC). If the reporting person is not filing with the assistance of an authorized agent (a broker dealer, filing agent or law firm), then the reporting person will also need the reporting person’s EDGAR password.
  
  NOTE: If you are a broker-dealer, law firm, or filing agent submitting a Form 144 on behalf of a reporting person, the Filer CIK is the reporting person’s CIK. It is not the broker dealer, law firm, or filing agent CIK. The Filer CIK, or reporting person’s CIK, belongs to the person for whose account the securities are to be sold.
• The issuer’s EDGAR account number (CIK). If you do not know the issuer’s CIK, you can search the EDGAR Company Database. Be sure to enter the correct issuer CIK!

To file an online fillable Form 144, begin by logging into the EDGAR OnlineForms Management website:

• A reporting person will use the reporting person’s EDGAR CIK and password to log in.
• A reporting person’s authorized agent (a broker dealer, filing agent, or law firm) will use the authorized agent’s CIK and password to log in.

Once logged in, select File Form 144 from the left navigation menu as depicted below.

To file an initial Form 144 submission, select Notice of Proposed Sale of Securities (144) from the screen below.

You will then be directed to provide certain required information.

You will be prompted through six (6) different screens, shown below in the left navigation:

1. Filer Information
2. Issuer Information
3. Securities Information
4. Securities to be Sold
5. Securities Sold During the Past 3 Months and
6. Documents.

The screenshot below shows the first screen, Filer Information.

Be aware of the following as you enter the information required on each of the screens:

Filer Information (the filer is the reporting person)

• You must provide a valid CIK and CCC for the filer (reporting person) before entering any other data or navigating to other screens.
• You must also provide the correct CIK for the relevant issuer.
• Based on the data entered, certain fields on Form 144 are pre-populated with information maintained in EDGAR.
• Under Submission Contact Information, enter the name, phone number, and email address of the person whom the SEC should contact for any questions concerning the submission.

Issuer Information

• Based on the issuer's CIK entered in the Filer Information section, the following information will be pre-populated from existing EDGAR data:
  • The name and address of the issuer.
  • The issuer's SEC reporting file number (if available):
  • Because EDGAR populates this information based on the issuer CIK entered, be sure to select the correct CIK for the relevant reporting issuer.
  • Issuers whose CIK does not return an assigned reporting file number in EDGAR (a number starting with 000, 001, 333, 033, 002, or 811) will not be accepted. The lack of a reporting file number indicates the issuer is not subject to SEC reporting. 
• The name of the person for whose account the securities are to be sold is pre-populated from EDGAR based upon the filer CIK.

Securities Information

Provide details on the proposed sale, including information identifying each broker or market maker whom the reporting person expects to participate in the sale.

There must be a separate entry for each broker or market maker.

There must be a separate entry for each security being offered.

Securities to Be Sold

Provide the required information on how the reporting person acquired the securities.

If securities of the same class were received separately, make separate entries.

If securities were received as a gift, select the checkbox, and enter the date when the donor acquired the securities.

Securities Sold in the Last Three Months

Provide information on each sale of securities made during the past three-month period.

If there are more sales than can be accommodated by the form, provide additional sales in a tabular presentation attached as an exhibit.

If the reporting person did not make any sales during the past three months, select Nothing to Report.

Signature and Remarks

• Enter any remarks necessary to explain any of the entries in the Form, and the signature of the reporting individual or the person’s duly authorized representative.
• Enter the date of the notice.
• If securities are sold in reliance on Rule 10b5-1, indicate the date of adoption of the relevant plan(s).

You can save a partially completed form and return to it at a later point in time.

Once you have entered all required information, you can save or print the Form 144, and then submit the Form 144 to EDGAR.

To determine if EDGAR accepted the Form 144 filing, you may use SEC.gov | EDGAR—Search and Access to check if EDGAR publicly disseminated the filing. If the reporting person’s EDGAR account is enrolled in EDGAR Next, or the reporting person was granted access to EDGAR on a Form ID submitted on or after March 24, 2025, the status of the Form 144 filing can be obtained by using the Submission Status API. See Overview of EDGAR APIs and the API Development Toolkit for more information about EDGAR Next APIs.

Frequently Asked Questions (and Answers) About the Electronic Form 144

1. Who can submit an electronic Form 144 on EDGAR?
   
   Answer: The reporting person or the person’s authorized agent – including a broker-dealer, lawyer, or filing agent – may submit the electronic Form 144 on EDGAR. Regardless of who files the Form 144, the reporting person must have an EDGAR account for the Form 144 to be filed electronically.
   
    
2. Who needs an EDGAR account?
   
   Answer: Both the reporting person and the issuer must have EDGAR accounts (CIK numbers) in order to file the Form 144 electronically on EDGAR. In addition, any authorized agent filing on behalf of the reporting person must have an account to log into EDGAR.
   
    
3. Which EDGAR credentials (CIK, CCC) should broker-dealers use for access?
   
   Answer: Broker-dealers who plan to file Forms 144 on behalf of reporting person clients—and who currently have an EDGAR CIK used for filing Form BD and/or X-17A-5—should apply for a new EDGAR CIK as a filing agent (select filing agent as the filer type when completing Form ID). A broker-dealer would use its EDGAR filing agent CIK solely for purposes of filing on behalf of the broker-dealer’s clients.
   
   For broker-dealers completing the Form ID for a filing agent CIK, the filing agent credentials should be registered as a Company CIK under the Company Name. The broker-dealer may choose to append the name with the department name such as “Department Services.”
   
   We also recommend that the broker-dealer add the suffix “/FA” after the name, to easily identify from the name that it is a “Filing Agent” CIK. For example, the Company CIK name will be “Company ABC Department Services /FA."
   • Login to EDGAR using the broker-dealer’s EDGAR filing agent CIK and password, then
   • Enter the reporting person’s EDGAR CIK and CIK confirmation code (CCC), and
   • Enter the issuer’s CIK.
     
      
4. I currently use a broker-dealer to submit the paper Form 144 on my behalf. Can I continue this arrangement to submit the electronic Form 144?
   
   Answer: A reporting person’s agreement with the person’s broker-dealer to make submissions to EDGAR on the person’s behalf is a private arrangement. A reporting person with the obligation to file may arrange for the person’s broker-dealer or other filing agent to make submissions on the person’s behalf.
   
   A reporting person may also make required electronic Form 144 filings on the person’s own behalf, if the person chooses to do so. An online fillable form is available, and the steps required to complete the electronic Form 144 are detailed in this guidance.
   
   The reporting person is the person for whose account the securities are to be sold, and the reporting person’s CIK/CCC must be used in the Filer CIK and Filer CCC portions of the Form 144.
   
    
5. At what times is EDGAR available to accept electronic Form 144 submissions?
   
   Answer: EDGAR is available to accept Form 144 submissions—along with all other electronic filings—from 6 a.m. – 10 p.m. ET, Monday–Friday, except federal holidays.
   
   The SEC deems a Form 144 submission made between 6 a.m. and 10 p.m. to be filed the same business day. Form 144 submissions will be made available on SEC.gov the same day. EDGAR is unavailable for filing between 10:00 p.m. and 6 a.m. ET Monday through Friday, and on Saturdays, Sundays, and federal holidays.
   
    
6. How should I transmit an amendment to Form 144 when the initial form was filed in paper and does not have an accession number? Should it be filed as an electronic Form 144?
   
   Answer: Yes, the first electronic Form 144 amendment to a previous paper Form 144 filing should initially be filed as an electronic Form 144 in EDGAR.
   
    
7. Where does the Issuer’s SEC reporting File Number come from?
   
   Answer: An issuer’s SEC reporting file number is supplied by EDGAR when you complete the filing in EDGAR Online Forms. The issuer must have an SEC reporting file number to file a Form 144. Like other information about the issuer, EDGAR will pre-populate this number, if one exists. If you build the Form 144 outside of EDGAR and attempt to create your own file number, EDGAR will replace that number with the SEC reporting file number in EDGAR that is linked to the issuer’s CIK.
   
   If the CIK you enter for the issuer does not have a SEC reporting file number, EDGAR will not accept the filing.
   
    
8. Can SEC staff assist with issues that might arise as part of the application development efforts by a broker-dealer or filing agent?
   
   Answer: It is not within the purview of SEC staff to address optional third-party application development efforts related to EDGAR filing. Technical questions regarding EDGAR, however, may be directed to Filer Support—FilerTechUnit@sec.gov or (202) 551-8900, option 3.