Page 25 - 期货和衍生品行业监管动态（2024年3月）

期货和衍生品行业监管动态

SEC 执法部副主任 Mark Cave 表示：“正如我们的指控所述，Roy Cook 利用

他作为 Tallgrass 董事会成员的地位，多次为自己和朋友谋取利益。我们将追究滥

用内幕信息谋取私利、违背股东信任的董事会成员及其他相关人员的责任。”

SEC 在美国威斯康星州东区联邦地区法院提起诉讼，指控五名被告违反了联

邦证券法中的反欺诈规定，并指控 Cook 未能提交有关家族信托开展 Tallgrass 证

券交易的必需报告。Cook 同意支付 801,742 美元的民事罚款，并退还其非法所

得和判决前利息，此外，还接受了对其担任公司高管和董事的禁令。

在不承认或否认所受指控的情况下，其他四名被告分别同意支付与其被指控

的非法交易利润金额相等的民事罚款，并退还其非法交易利润及其预付利息。

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.

12