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Series Description

There are 138 Files for this series in AAD :
[File from the] Ownership Reporting System (ORS), 7/11/1978 - 8/10/1978 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1978 - 9/10/1978 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1978 - 10/10/1978 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1978 - 11/10/1978 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1978 - 12/10/1978 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1978 - 1/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1979 - 2/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1979 - 3/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1979 - 4/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1979 - 5/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1979 - 6/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1979 - 7/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1979 - 8/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1979 - 9/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1979 - 10/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1979 - 11/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1979 - 12/10/1979 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1979 - 1/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1980 - 2/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1980 - 3/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1980 - 4/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1980 - 5/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1980 - 6/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1980 - 7/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1980 - 8/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1980 - 9/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1980 - 10/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1980 - 11/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1980 - 12/10/1980 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1980 - 1/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1981 - 2/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1981 - 3/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1981 - 4/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1981 - 5/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1981 - 6/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1981 - 7/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1981 - 8/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1981 - 9/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1981 - 10/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1981 - 11/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1981 - 12/10/1981 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1981 - 1/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1982 - 2/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1982 - 3/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1982 - 4/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1982 - 5/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1982 - 6/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1982 - 7/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1982 - 8/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1982 - 9/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1982 - 10/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1982 - 11/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1982 - 12/10/1982 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1982 - 1/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1983 - 2/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1983 - 3/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1983 - 4/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1983 - 5/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1983 - 6/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1983 - 7/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1983 - 8/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1983 - 9/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1983 - 10/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1983 - 11/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1983 - 12/10/1983 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1983 - 1/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1984 - 2/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1984 - 3/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1984 - 4/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1984 - 5/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1984 - 6/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1984 - 7/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1984 - 8/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1984 - 9/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1984 - 10/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1984 - 11/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1984 - 12/10/1984 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1984 - 1/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1985 - 2/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1985 - 3/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1985 - 4/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1985 - 5/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1985 - 6/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1985 - 7/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1985 - 8/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1985 - 9/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1985 - 10/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1985 - 11/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1985 - 12/10/1985 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1985 - 1/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1986 - 2/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1986 - 3/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1986 - 4/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1986 - 5/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1986 - 6/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1986 - 7/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1986 - 8/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1986 - 9/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1986 - 10/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1986 - 11/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1986 - 12/10/1986 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1986 - 4/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1991 - 5/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1991 - 6/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1991 - 7/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1991 - 8/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1991 - 9/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1991 - 10/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1991 - 11/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1991 - 12/10/1991 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1991 - 1/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1992 - 2/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1992 - 3/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1992 - 4/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1992 - 5/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1992 - 6/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1992 - 7/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1992 - 8/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1992 - 9/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1992 - 10/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1992 - 11/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1992 - 12/10/1992 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1992 - 1/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1993 - 2/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 2/11/1993 - 3/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 3/11/1993 - 4/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 4/11/1993 - 5/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 5/11/1993 - 6/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 6/11/1993 - 7/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 7/11/1993 - 8/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 8/11/1993 - 9/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 9/11/1993 - 10/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1993 - 11/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 11/11/1993 - 12/10/1993 (info) Search
[File from the] Ownership Reporting System (ORS), 12/11/1993 - 1/10/1994 (info) Search
[File from the] Ownership Reporting System (ORS), 1/11/1994 - 10/10/1997 (info) Search
[File from the] Ownership Reporting System (ORS), 10/11/1997 - 1/10/1998 (info) Search
[File from the] Ownership Reporting System, 1/11/1998 - 3/12/2001 (info) Search
Title: Records on Trading of Securities by Corporate Insiders, created, 7/11/1978 - 3/12/2001, documenting the period 7/11/1978 - 3/12/2001
Creator: Securities and Exchange Commission. Office of Registration and Reports. Branch of Ownership Reports. (ca. 1962 - ca. 2001) (Most Recent)
Type of Archival Materials: Textual Records
Data Files
Level of Description: Series from Record Group 266: Records of the Securities and Exchange Commission
Other Titles: Ownership Reporting System (ORS)
Location: National Archives at College Park - Electronic Records, National Archives at College Park, 8601 Adelphi Road, College Park, MD, 20740-6001. PHONE: 301-837-0470; FAX: 301-837-3681; EMAIL: cer@nara.gov
Inclusive Dates: 7/11/1978 - 3/12/2001
Coverage Dates: 7/11/1978 - 3/12/2001
Date Note: The monthly files correspond to the month in which the report of the transaction was received by the Securities and Exchange Commission and not necessarily the month in which the transaction occurred. A monthly data file contains all transactions reported to and received by the Securities and Exchange Commission between the 11th of one month and the 10th of the next month. There are 4 files that cover multiple months: July 11, 1986 to August 10, 1991; January 11, 1994 to October 10, 1997; October 11, 1997 to January 10, 1998; and January 11, 1998 to March 12, 2001. There is overlap in coverage of the monthly files for the latter half of 1986 and the file for July 11, 1986 to April 10, 1991.
Part of: Record Group 266: Records of the Securities and Exchange Commission
Function and Use: The agency created this system, which it called the Ownership Reporting System (ORS), to automate and expedite the publication of the "Official Summary of Security Transactions and Holdings." The system processed transaction data of insider holdings reported on Form 3 and Form 4 pursuant to section 16(a) of the Securities Exchange Act of 1934; section 30(f) of the Investment Company Act of 1940; and section 17(a) of the Public Utility Holding Company Act of 1935. SEC Form 5 data were added in April 1991. The system verified share balances detected liabilities for short-swing profits. Short-swing profits were profits earned within six months of a trade, including profits made from the sale of securities followed by their repurchase within six months. Traders with "insider relationships" were prohibited from short-swing profits. Additionally, the agency analyzed raw data to assist in the enforcement of anti-fraud provisions and used the Committee on Uniform Security Identification Procedures (CUSIP) data file to retrieve issuer and issue data.
Scope & Content Note: This series contains records of "insider trading" and security transactions and holdings in securities by people with beneficial ownership of securities, primarily officers, directors and principal stockholders of a corporation. Ownership Reporting System (ORS) data come from three forms: SEC Form 3 Initial Statement of Beneficial Ownership of Securities; SEC Form 4 Statement of Changes in Beneficial Ownership of Securities; and SEC Form 5 Annual Statement of Beneficial Ownership of Securities. Information includes: the name of the issuer of the security; the security name and Committee on Uniform Security Identification Procedures (CUSIP) number; the insider or reporting person and his or her relationship to the issuer; the nature of the ownership; the date and type of transaction; the number of shares and the value of each share traded; and the holdings reported by the individual at the end of the reporting period.
Access Restrictions: Restricted - Partly. FOIA (b)(6) Personal Information. This series consists of one partially restricted file. A public use version of the restricted file has been created for researchers.
General Note: The agency name for these records was the Ownership Reporting System. The acronym "ORS" is used by both the agency and NARA when referring to the series and its contents.
The record layout for the file for July 11, 1986 to August 10, 1991 includes the "SS/TAX Number" data element. The values for this data element were masked by the SEC prior to the transfer to NARA and every value for this field shows as blank. The record layouts for the files ORS: August 1978 to December 1986; April 11, 1991 to January 10, 1992; January 11, 1992 to June 10, 1992; June 11, 1992 to October 10, 1992; and October 11, 1992 to January 10, 1998 did not contain this field. The record layout for the January 11, 1998 - March 12, 2001 data file includes the data element, "INV_SS". NARA has masked the values in this field because the field is a nine-digit, undefined field that might possibly contain Social Security numbers.
For data files after 1991 the "Transaction Code" element was expanded to allow for 2 characters which would allow up to 2 codes per transaction to be selected. The "Nature of Ownership Code" was similarly expanded for data files after 1991 to allow for 2 new three character codes ("CEO" and "CFO").
There are seven record layouts for the data files covering these accessions. The layouts cover the following time periods: August 1978 to December 1986; July 11, 1986 to April 10, 1991 (a "Cumulative" file); April 11, 1991 to January 10, 1992; January 11, 1992 to June 10, 1992; June 11, 1992 to October 10, 1992; October 11, 1992 to January 10, 1998; and January 11, 1998 to March 12, 2001.
Finding Aid Type: Technical Information
Finding Aid Source: NARA and Securities and Exchange Commission
Extent: 138 data files and 2 linear inches of documentation
Index Terms
  Subjects Represented in the Archival Material
    Insider trading in securities
Names, Personal
Securities
Stockholders
Stocks

The U.S. National Archives and Records Administration
8601 Adelphi Road, College Park, MD 20740-6001
Telephone: 1-86-NARA-NARA or 1-866-272-6272