Records on Trading of Securities by Corporate Insiders

Traders with "insider relationships" were prohibited from short-swing profits. Additionally, the agency analyzed raw data to assist in the enforcement of anti-fraud provisions and used the Committee on Uniform Security Identification Procedures (CUSIP) data file to retrieve issuer and issue data. This series contains records of "insider trading" and security transactions and holdings in securities by people with beneficial ownership of securities, primarily officers, directors and principal stockholders of a corporation.

Ownership Reporting System (ORS) data come from three forms: SEC Form 3 Initial Statement of Beneficial Ownership of Securities; SEC Form 4 Statement of Changes in Beneficial Ownership of Securities; and SEC Form 5 Annual Statement of Beneficial Ownership of Securities. Information includes: the name of the issuer of the security; the security name and Committee on Uniform Security Identification Procedures (CUSIP) number; the insider or reporting person and his or her relationship to the issuer; the nature of the ownership; the date and type of transaction; the number of shares and the value of each share traded; and the holdings reported by the individual at the end of the reporting period.

This data comprises government records extracted from the Archival Research Catalog (ARC). See the ARC catalog entry for this series for more information on this data and how to order it.