Avoid costly short-swing profit violations with our comprehensive tracking template used by public company officers and directors nationwide.
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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+.
Record all stock purchases, sales, option exercises, RSU vesting, and gifts with dates, prices, shares, and transaction methods.
Automatically identifies all transactions within the 6-month short-swing window. Enter any date to see potential matches.
Calculate potential disgorgement liability using the "lowest in, highest out" matching method required by Section 16(b).
Automatic calculation of 2-business-day filing deadlines with status tracking to avoid late filing disclosure in proxy statements.
Track transactions that qualify for exemptions: Rule 10b5-1 plans, company grants, buybacks, gifts, and estate distributions.
Quarterly review checklist, annual Form 5 reminders, and key contacts for your securities counsel and stock plan administrator.
The template is free. Professional counsel is $2,500 for a comprehensive audit. A violation can cost $10,000-$1,000,000+.
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