Last year, the Securities and Exchange Commission (the "SEC") adopted rule amendments mandating the electronic filing of Form D after an initial transition period. See “SEC Mandates Electronic Filing of Form D After Initial Transition Period” (SRZ Alert, Nov. 5, 2008). In so doing, the SEC revised Rule 503 of Regulation D to require that amendments be filed annually, on or before the anniversary of the last Form D filing (i.e., the initial filing or the most recent amendment). Generally, in the case of an offering for which an old Form D (or the latest amendment thereto) was filed prior to March 16, 2008, an annual amendment on electronic Form D will have to be submitted no later than March 16, 2009.
For those of you that would like to make your own amendment filings, you must have EDGAR codes from the SEC. Those filers that already have EDGAR codes may use their previously assigned codes to make the filings. If you have previously filed a Form D in paper format, you may have been issued codes that will need to be converted into the proper EDGAR codes. For those of you that do not have any codes, you will need to obtain EDGAR codes by filing a Form ID with the SEC. The websites for obtaining EDGAR codes and filing the electronic Form D are listed below.
To obtain EDGAR codes: https://www.filermanagement.edgarfiling.sec.gov/
To file the electronic Form D: https://www.onlineforms.edgarfiling.sec.gov/
For more information from the SEC: http://www.sec.gov/info/smallbus/secg/formdguide.htm