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Rule 10b5-1 trading plans
Upload, review, and approve trading plans. Track cooling-off periods, every change, and required disclosures.
Trusted by the world's leading companies
Approve each plan once and automate the rest.
Track plan changes and cooling-off periods, and prepare the quarterly disclosure without a spreadsheet.
Approve plans in one queue
Your people upload plans beside their trade requests, so you approve both from one queue.
Learn more about trade pre-clearance
Calculate the cooling-off automatically
Cooling-off periods are calculated from the person's role and your fiscal dates, with the rule shown beside each.
Learn more about calendars and deadlines
Prepare the Item 408 table
Every adoption, modification, and termination is recorded in the quarter's Item 408 table, ready for your sign-off.
Learn more about Item 408 disclosureApprove a plan in three steps.
Every plan is uploaded, approved with conditions, and kept on file.
Upload
Your executive uploads the broker's plan with its certifications. In a blackout, it is refused before review.
Review and approve
You review it in the same queue as your trades and can set conditions such as "sales only".
Keep the plan on file
On approval, the plan is created with a locked copy of its document, status, and cooling-off. Modifications, execution notices, and Item 408 disclosure rows are linked to it.
In depth
Every condition is kept and every change classified.
Review each plan against every condition of the rule in one place.
Each request carries its certifications.
An adoption request captures three statements covering MNPI (material nonpublic information), good faith, and evasion of the rule, and stores each with its plan version.
A plan is not a trade, so plan requests don't expire or ask whether the person traded.
A modification restarts the cooling-off.
A modification to amount, price, or timing ends the plan and creates a successor with a new cooling-off, while a broker contact change does not.
Counsel records the classification, and each version is locked with its certifications, so you can produce the plan as adopted and as amended.
An overlapping plan, or a second single-trade plan within twelve months, flags the request for review.
Each cooling-off date shows its rule.
Cooling-off is the wait before trading under a plan may begin, and its end date is calculated automatically.
A person's role at adoption and your fiscal calendar decide whether the director and officer rule or the 30-day rule for other persons applies.
Enter each 10-Q and 10-K filing date, or change the fiscal calendar, to recalculate every open cooling-off and see its inputs.
Each execution notice is matched once.
A broker's execution notice, the confirmation that an order was filled, is entered or imported, deduplicated on the broker reference, and matched to the plan.
Two notices for one order produce one Form 4 with the Rule 10b5-1 box set. No broker connection is needed.
A sale over the Form 144 threshold opens a review with an owner and a deadline, and its result is recorded automatically.
Follow a plan from request to execution notice.
A worked example on a calendar fiscal year.
Tuesday, February 10
Your CFO submits an adopt request in an open window, and counsel approves with the condition "sales only". On approval, the plan is created with its first locked version, and its row appears in the Q1 Item 408 disclosure table.
When the 10-Q is filed
Your corporate secretary enters the filing date, and your CFO's end date is calculated from her role and that filing, within the 120-day cap. It shows in her portal and on the issuer calendar.
After the cooling-off ends
Her broker reports the same order twice on one day, and one execution notice is recorded. A single Form 4 is opened with the Rule 10b5-1 box set, due by the end of the second business day.
What compliance teams say.
See how listed companies, advisers and funds run their insider trading programs with InsiderList.
InsiderList is efficient and straightforward. We’ve been able to automate our compliance tasks with ease, and the support has been consistently responsive and helpful.
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Company Secretary
Boohoo Group plc
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Company Secretarial Assistant
Computacenter plc
With InsiderList, we can quickly create lists, track acknowledgments, and effectively manage the deal clearance process. This has saved time and reduced the administrative workload. The platform is easy to use and the support has been great.
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General Counsel
LendInvest plc
After conducting a thorough review, InsiderList stood out as the clear market leader. Their advanced technology platform, deep understanding of the regulatory landscape, and ability to integrate into our core products sets them apart.
Thera Prins
CEO
Equiniti Shareholder Services (UK)
Plans on the platform you already run
Plans are added to the pre-clearance queue, portal, and audit trail you already use, not a separate spreadsheet.
FAQs
Your questions, answered
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