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      Page 26 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年3月)
      P. 26

      期貨和衍生品行業(yè)監管動(dòng)態(tài)
      
      
      
      
                              The complaint alleges that Natrop and Renner, who were friends and business
      
                         associates of Cook’s, purchased Tallgrass call options on August 8 and 9, 2019, which
      
                         resulted in illicit profits of $43,862 for Natrop and $13,520 for Renner. The complaint
      
                         further alleges that Cook tipped Rudolph while the two were in the Bahamas
      
                         celebrating Rudolph’s birthday on Rudolph’s yacht and that Rudolph purchased
      
                         Tallgrass stock on August 6, 2019, which resulted in illicit profits of $31,035. The
      
                         complaint also alleges that Cook tipped Williams, his long-time friend and personal
      
                         accountant, and that Williams purchased call options on August 19 and 21, 2019,
      
                         which resulted in illicit profits of $463,000.
      
      
                              Following the August 27 announcement, which saw Tallgrass shares increase by
      
                         36 percent, Cook served for several months as chair of a Tallgrass Conflicts
      
                         Committee tasked with assessing Blackstone’s offer and negotiating the final terms of
      
                         the transaction. In connection with this role, Cook allegedly learned material
      
                         nonpublic information about the status of the negotiations that he communicated to
      
                         Williams, who purchased Tallgrass stock in a Cook family trust account over which
      
                         he had trading authority, resulting in $88,800 of illicit profits for Cook. The complaint
      
                         further alleges that, on December 10, 2019, while on vacation in Chile, Cook tipped
      
                         Williams more material nonpublic information about the status of the negotiations,
      
      
                         and Williams purchased more call options in his personal account, resulting in
      
                         additional illicit profits of $61,525.
      
      
                              “As our complaint alleges, Roy Cook took advantage of his position as a
      
                         Tallgrass director to repeatedly enrich himself and his friends,” said Mark Cave,
      
                         Associate Director of the SEC’s Division of Enforcement. “We will hold accountable
      
                         board members and others who misuse inside information for their own benefit and
      
                         violate the trust placed in them by shareholders.”
      
      
                              The SEC complaint, filed in U.S. District Court for the Eastern District of
      
                         Wisconsin, charges the defendants with violating the antifraud provisions of the
      
      
      
      
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