WHARTON Research Data Services Insiders Database

WHARTON Research Data Services (WRDS) Insiders Database covers insider transactions from June 30, 2003, sourced from SEC Form 3, 4, and 5 filings. The database is structured into six distinct datasets, providing comprehensive coverage on insider trades and related information. It includes details on insider holdings, ongoing transactions, end-of-year summaries, regulatory metadata, reporting owners and agents, and more.

• Insider Trading
• WHARTON
• WRDS
• Financial Data
• SEC Filings

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Presentation Transcript

1. WHARTON RESEARCH DATASERVICES Introduction to WRDS Insiders

2. Summary WRDS Insiders is a database covering insider transactions, beginning June 30, 2003 WRDS Insiders is generated from SEC Form 3, 4, and 5 filings WRDS Insiders is structured as 6 distinct datasets 2 Wharton Research Data Services

3. 1 Coverage 2 Background 3 Structure 3 Wharton Research Data Services

4. Coverage WRDS Insiders includes all insider trades after the SEC mandated electronic disclosure June 30, 2003 present Covers Forms 3, 4, and 5 Form 3: Insider s initial holdings Form 4: Ongoing transactions Form 5: End of year summary 4 Wharton Research Data Services

5. Coverage For each filing Transactions Derivative, non-derivative, and footnotes Document Metadata Regulatory, issuing firm, and dates Reporting Owners and Agents Name, address, CIK, insider type, signatory 5 Wharton Research Data Services

6. 1 Coverage 2 Background 3 Structure 6 Wharton Research Data Services

7. Background Insider Trading Exchange Act of 1934, Section 16 Form 3 Form 4 Form 5 Mandatory disclosure Exchange Act of 1934 Sarbanes-Oxley 2002 SOX August 29, 2002 Electronic filing June 30, 2003 7 Wharton Research Data Services

8. Background Insider Any director, officer, or 10% shareholder in a firm Relatives, others who indirectly hold shares Transaction Buy/Sell Derivative exercise Symmetric option exercise, shares sold 2 transactions Miscellaneous Gifts Hedging transaction Other w/ footnote 8 Wharton Research Data Services

9. Background FORM 3 FORM 4 FORM 5 Statement of Changes in Beneficial Ownership Transactions Filed within 2 business days of a transaction Annual Statement of Beneficial Ownership Holdings & Transactions (pre- SOX) Filed within 45 days of Issuer s fiscal year end Initiating Statement of Beneficial Ownership Holdings Filed within 10 days of becoming an insider 9 Wharton Research Data Services

10. 1 Coverage 2 Background 3 Structure 10 Wharton Research Data Services

11. Structure 1. Document Info 2. Reporting Owners 3. Non-Derivatives 4. Derivatives 5. Signatures 6. Footnotes 11 Wharton Research Data Services

12. Structure 12 Wharton Research Data Services

13. Summary WRDS Insiders includes all insider trades and holdings in the electronic submission era WRDS Insiders draws from 3 forms, mandated by law since 1934 WRDS Insiders can be consolidated by filing, trade, or owner 13 Wharton Research Data Services

14. T h a n k Yo u !