Your trade confirmation
For a director, officer or 10% owner asked for a trade's confirmation: what a broker confirmation or plan statement is, where to find it, what to send and why the company asks.
What a trade confirmation is
A broker confirmation is your broker's record of one trade: the date, the number of shares, the price and the account it went through.
For a trade in a company plan, such as a grant, a vesting or an employee stock purchase plan (ESPP) purchase, the record is the plan administrator's statement instead.
Where to find it
- Your broker's website or app, in its documents, statements or confirmations section.
- The confirmation email your broker sent after the trade.
- For a plan trade, a grant, a vesting or an ESPP purchase: the plan administrator's statement, on its website or in its email.
What to send
A PDF or a photo of the confirmation or statement, up to 5 files of 10 MB each. A photo or screenshot works if the date, the shares and the price are readable.
Open the link from the company's email, enter the one-time code, attach the files and choose Send confirmation.
Why the company asks
The company checks the figures on your Form 4 against it, and the counsel reviewing the form reads it beside the form. It is not filed with the SEC.
The company's admins and that counsel read what you send.
If you don't have it yet
Send what you have, such as the confirmation email or a screenshot of the trade. Your Form 4 is still due two business days after the trade, so the company does not wait for the confirmation to file it.
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Thanks for the feedback.For a director, officer or 10% owner: sign each Form 3, 4 or 5 from the link the company emails you, then see every company that lists you, your forms and signed copies in one place on My filings.
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TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Forms 3, 4 and 5 prepared in TakePublic file only after the reviewer the company designates, such as its securities counsel, signs off; any other filing prepared in TakePublic files only after a licensed securities attorney signs off.