Step 1 of 7: General
SEC Filings & Disclosure
Insider & beneficial ownership reportingRecord plan facts, derive the role-specific cooling-off end, evaluate certification and plan-limit evidence, review the result, obtain independent approval, and preserve the completed assessment.
Basis: Insider and ownership compliance
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 1
Complete the General fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdSelect the issuer or reporting entity that owns this plan. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 2
Complete the Participant fields. Each value is validated against the schema before the next step unlocks.
Plan participant or issuer name (required)
insiderNameEnter plan participant or issuer name.
Participant role (required)
insiderRoleChoose director or officer only for a person subject to the Rule 10b5-1 director/officer conditions.
Step 3 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 3
Complete the Plan fields. Each value is validated against the schema before the next step unlocks.
Plan name or reference (required)
planNameEnter plan name or reference.
Plan action (required)
planActionEnter plan action.
Adoption, modification, or termination time (required)
actionAtEnter adoption, modification, or termination time.
Step 4 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 4
Complete the Cooling Off fields. Each value is validated against the schema before the next step unlocks.
First trade permitted by the planoptional
plannedFirstTradeAtEnter first trade permitted by the plan.
Relevant Form 10-Q or Form 10-K financial-results disclosureoptional
quarterFinancialResultsDisclosedAtFor a director or officer, record the filing that disclosed results for the quarter in which the plan was adopted or modified. If it has not occurred, the assessment uses the 120-day cap.
Step 5 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 5
Complete the Certification fields. Each value is validated against the schema before the next step unlocks.
Director/officer Rule 10b5-1 certification artifact IDoptional
directorOfficerCertificationArtifactIdAttach the representation addressing material nonpublic information and good-faith adoption.
Step 6 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 6
Complete the Restrictions fields. Each value is validated against the schema before the next step unlocks.
Another Rule 10b5-1 plan overlaps this plan (required)
hasOverlappingPlansEnter another rule 10b5-1 plan overlaps this plan.
Overlapping-plan exception relied onoptional
overlapExceptionBasisEnter overlapping-plan exception relied on.
Overlapping-plan exception evidence artifact IDoptional
overlapExceptionEvidenceArtifactIdEnter overlapping-plan exception evidence artifact id.
Plan is designed for one open-market transaction (required)
isSingleTradePlanEnter plan is designed for one open-market transaction.
Other single-trade plans entered in the preceding 12 monthsoptional
priorSingleTradePlanCountEnter other single-trade plans entered in the preceding 12 months.
Step 7 of 7
ScreenSEC › SEC Workflows › Rule 10b5-1 trading-plan governancestep 7
Complete the Evidence fields. Each value is validated against the schema before the next step unlocks.
Executed plan terms artifact ID (required)
planTermsArtifactIdEnter executed plan terms artifact id.
Good-faith review artifact ID (required)
goodFaithReviewArtifactIdEnter good-faith review artifact id.
Continue with the next guide in this framework's table of contents.
Mandatory initial statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory statement of changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory annual statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide