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Section 16 Transaction Tracking Template

Avoid costly short-swing profit violations with our comprehensive tracking template used by public company officers and directors nationwide.

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6-Month Look-Back Calculator Automatically identifies matching transactions
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Form 4 Deadline Tracker Never miss the 2-business-day filing window
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Profit/Loss Calculator Calculate potential disgorgement liability
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Exemption Checklist Track 10b5-1 plans, company grants, and more

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Donald Hateley, Of Counsel for securities law at Acquisition Stars

Donald Hateley

Of Counsel, Securities Law | Acquisition Stars

Donald Hateley serves as Of Counsel to Acquisition Stars for securities law matters. His background includes advising public and private companies on securities transactions, corporate finance, and corporate governance, including public and private equity and debt financings. Admitted to the California bar in 1993, he is a graduate of the University of Southern California Marshall School of Business and Southwestern Law School.

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Section 16 transaction tracker: A compliance tool for public company officers, directors, and 10%+ shareholders to monitor stock transactions and avoid short-swing profit violations under Section 16(b) of the Securities Exchange Act. Tracks 6-month look-back periods, Form 4 filing deadlines (2 business days), and exemption eligibility. Potential disgorgement liability: $10,000–$1,000,000+.

Trusted by Public Company Insiders

Section 16(b) disgorgement calculations depend on the timing and value of matched transactions. Early identification prevents costly violations.
2 days
Form 4 deadline - automated tracking prevents violations

What's Included in the Template

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Transaction Log

Record all stock purchases, sales, option exercises, RSU vesting, and gifts with dates, prices, shares, and transaction methods.

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6-Month Look-Back Calculator

Automatically identifies all transactions within the 6-month short-swing window. Enter any date to see potential matches.

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Profit/Loss Calculation

Calculate potential disgorgement liability using the "lowest in, highest out" matching method required by Section 16(b).

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Form 4 Deadline Tracker

Automatic calculation of 2-business-day filing deadlines with status tracking to avoid late filing disclosure in proxy statements.

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Exemption Checklist

Track transactions that qualify for exemptions: Rule 10b5-1 plans, company grants, buybacks, gifts, and estate distributions.

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Annual Compliance Reminders

Quarterly review checklist, annual Form 5 reminders, and key contacts for your securities counsel and stock plan administrator.

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