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Ownership Reporting System (ORS) of the Securities Exchange Commission (SEC), 1985
Version 1.0
National Archives, 2009, "Ownership Reporting System (ORS) of the Securities Exchange Commission (SEC), 1985", https://hdl.handle.net/11272.1/AB2/XFFDAU, Abacus Data Network, V1
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Description

"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.
...

The monthly files correspond to the month in which the report of the transaction was received by the Securities and Exchange Commission and not necessarily the month in which the transaction occurred. A monthly data file contains all transactions reported to and received by the Securities and Exchange Commission between the 11th of one month and the 10th of the next month.
...

The agency created this system, which it called the Ownership Reporting System (ORS), to automate and expedite the publication of the "Official Summary of Security Transactions and Holdings." The system processed transaction data of insider holdings reported on Form 3 and Form 4 pursuant to section 16(a) of the Securities Exchange Act of 1934; section 30(f) of the Investment Company Act of 1940; and section 17(a) of the Public Utility Holding Company Act of 1935. SEC Form 5 data were added in April 1991. The system verified share balances detected liabilities for short-swing profits. Short-swing profits were profits earned within six months of a trade, including profits made from the sale of securities followed by their repurchase within six months. 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."

National Archives Catalog, NAID: 572696; Records on Trading of Securities by Corporate Insiders, July 11, 1978–March 12, 2001

The codebook for this dataset is available through the UBC Library catalogue, with call number HG4501 .O961.

Subject Other
Keyword Economic and Financial Statistics
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