“10b5-1 交易计划”启动后，公司 能做的只是指令经纪人和交易商终止实施这一计划。 假如 上市公司按“10b5-1 交易计划”回购自己的股票，那么，即便 在计划启动之后公司获得了不为公众投资人知悉的重要信 息， 也不必停止交易计划， 从而得以跨入内幕交易 窗口期不适用于根据 10b5-1 规则交易计划购买或出售公司股票的情形，10b5-1 规 则交易计划根据公司的 10b5-1 规则交易计划指南（附录 B）而采纳。此外，如本政策所 述，窗口期（以及对内幕交易的一般禁令）不适用于 (a) 根据公司不定期实施的福利计划 Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to illegal insider trading available under Rule 10b5-1, which was adopted by the SEC in 2000. Several recen 10b5-1”交易计划是美国多数企业高管中都采取的一种方式，它允许公司内部人员在 得到某些尚未公开披露的信息时进行股票买卖
内幕交易的经济学分析 - MBA智库文档 第3卷第1期经济学(季刊)Vol.3,No.12003年10月ChinaEconomicQuarterlyOctober,2003内幕交易的经济学分析张 新 祝红梅*摘 要 本文探讨了中国市场的内幕交易理论,在此基础上提出了4个可检验的假说:(1)内幕交易在中国必定存在;(2)内幕交易在中国比成熟市场更加严重;(3)重大事件中内幕交易的严重程度和管理层付出 …
“10b5-1”交易计划是美国多数企业高管中都采取的一种方式，它允许公司内部人员在得到某些尚未公开披露的信息时进行股票买卖。 Rule 10b5-1 Definition 发布于 2015-03-16
Rule 10b5-1 provides specific guidance in the insider trading realm, but it does not operate in a vacuum and co-exists with other securities laws, which remain applicable. For example Rule 10b5-1 does not alter the elements of a case under Rule 10b-5/Section 10(b) (e.g., scienter is still required). Rule 10b5-1 is established by the Securities Exchange Commission (SEC) to allow insiders of publicly traded corporations to set up a trading plan for selling stocks they own. Rule 10b5-1 allows 除了遵守先前批准的规则 10b5-1 交易计划（将在下文介绍）外，董事、第 16 节管理人员和指 定员工不能在“交易窗口期”以外买卖 Bloomin’ Brands 证券（包括销售行使期权获得的股票， 但是不包括礼物和行使期权）。下文介绍的预先核准只能在交易窗口期进行。 由自 2005 年以来在规则 144 和 10b5-1 服务中始终排名第一的团队提供指导，掌握复杂的内部交易和申报条例。 常见问题解答 解答您的 RSU、StockPlan Connect 帐户、交易、股份转让等各种问题。 Accordingly, Rule 10b5‐1 plans are especially useful for people presumed to have inside information, such as officers, directors and other affiliates. Purpose and Benefits of Rule 10b5‐1 Plans What is the purpose of a Rule 10b5‐1 plan? A trading plan created under Rule 10b5‐1(c) provides This provision defines when a purchase or sale constitutes trading “on the basis of” material nonpublic information in insider trading cases brought under Section 10(b) of the Act and Rule 10b-5 thereunder. The law of insider trading is otherwise defined by judicial opinions construing Rule 10b-5, and Rule 10b5-1 does not modify the scope of insider trading law in any other respect.
Rule 10b5-1 plans are developed in compliance with Rule 10b5-1 and set out restrictions for purchases or sales of equity securities that do not permit the person to exercise investment discretion over how, when, or whether to make purchases or sales once the plan is in place. Exhibit 10.1 . Rule 10b5-1 Trading Plan . This Trading Plan (the “Trading Plan”) is entered into on March 9, 2011 (“Seller’s Adoption Date”) between Harry O. Nicodemus IV (“Seller”) and UBS Financial Services Inc. (“UBSFS”) for the purpose of selling shares of common stock (“Stock”) of Omega Protein Corporation (“Issuer”), OME (Ticker), including; Stock that the 减持计划对散户提前了解董监高等减持动向有很大帮助，但减持计划与10b5－1规则的预定交易计划却有较大区别。 首先，减持计划并非一定在定期报告之后的窗口期发布，发布减持计划时公众或许没有掌握上市公司的部分重大信息；其次，董监高未来减持仍可 这个周五，一份美国证券交易委员会的文件显示，扎克伯格在8月出手了约76.8万支Facebook股票，总价值超9500万美元。 扎克伯格在这过程中使用了10b5-1交易计划，这是一种美国企业高管经常采取的一种方式，允许公司内部人员在得到某些尚未公开披露的信息时进行 “10b5-1 交易计划”启动后，公司 能做的只是指令经纪人和交易商终止实施这一计划。 假如 上市公司按“10b5-1 交易计划”回购自己的股票，那么，即便 在计划启动之后公司获得了不为公众投资人知悉的重要信 息， 也不必停止交易计划， 从而得以跨入内幕交易 窗口期不适用于根据 10b5-1 规则交易计划购买或出售公司股票的情形，10b5-1 规 则交易计划根据公司的 10b5-1 规则交易计划指南（附录 B）而采纳。此外，如本政策所 述，窗口期（以及对内幕交易的一般禁令）不适用于 (a) 根据公司不定期实施的福利计划 Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to illegal insider trading available under Rule 10b5-1, which was adopted by the SEC in 2000. Several recen