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What information must be included in the personal securities transactions reports of an access person of an SEC registered investment adviser?

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All personal securities transaction reports must, at a minimum, cover all personal securities transactions during the calendar quarter for which the report is being completed. The following information is the minimum information that must be included in the personal securities transaction report for each reportable security:

  • The date of the transaction;
  • The title of the security;
  • The exchange ticker symbol or CUSIP number (as applicable);
  • The interest rate and maturity date (if applicable);
  • The number of shares and principal amount;
  • The nature of the transaction (i.e., purchase, sale or any other type of acquisition or disposition);
  • The price of the security at which the transaction was effected;
  • The name of the broker, dealer or bank with or through which the transaction was effected; and
  • The date the access person submits the report.

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