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期貨和衍生品行業(yè)監管動(dòng)態(tài)
SEC 執法部副主任 Mark Cave 表示：“正如我們的指控所述，Roy Cook 利用
他作為 Tallgrass 董事會(huì )成員的地位，多次為自己和朋友謀取利益。我們將追究濫
用內幕信息謀取私利、違背股東信任的董事會(huì )成員及其他相關(guān)人員的責任。”
SEC 在美國威斯康星州東區聯(lián)邦地區法院提起訴訟，指控五名被告違反了聯(lián)
邦證券法中的反欺詐規定，并指控 Cook 未能提交有關(guān)家族信托開(kāi)展 Tallgrass 證
券交易的必需報告。Cook 同意支付 801,742 美元的民事罰款，并退還其非法所
得和判決前利息，此外，還接受了對其擔任公司高管和董事的禁令。
在不承認或否認所受指控的情況下，其他四名被告分別同意支付與其被指控
的非法交易利潤金額相等的民事罰款，并退還其非法交易利潤及其預付利息。
SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four
Others with Insider Trading in Advance of Blackstone Acquisition (2024/3/12)
The Securities and Exchange Commission today announced insider trading
charges against Roy Cook, a former board member of Tallgrass Energy LP, and four
of his friends for trading on material nonpublic information in advance of a public
announcement that Blackstone Infrastructure Partners had offered to acquire Tallgrass
and take it private. The SEC also charged Cook for failing to file required disclosure
reports concerning securities transactions by family trusts. All five of the defendants
agreed to settlements that, in aggregate, include more than $2.2 million in
disgorgement, prejudgment interest, and civil penalties.
According to the SEC’s complaint, Cook learned in late July 2019 that
Blackstone, which had acquired 44 percent of Tallgrass’s public shares earlier that
year, was planning to make an offer to acquire the remainder of Tallgrass’s publicly
traded shares. Within weeks of learning that information, Cook allegedly tipped his
friends, Jeffrey Natrop, Peter Renner, James Rudolph, and Peter Williams, who all
purchased Tallgrass securities prior to an August 27, 2019, public announcement of
Blackstone’s offer.
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