SEC ORS/ROS
 

Ownership Reporting System (ORS)

The Ownership Reporting System (ORS) - Official Summary of Security Transactions and Holdings
has records of computerized insider security transactions and holdings. ORS data are originated from
the following SEC documents: SEC Form 3 (Initial Statement of Beneficial Ownership of Securities),
Form 4 (Statement of Changes in Beneficial Ownership of Securities), Form 5 (Annual Statement
of Changes in Beneficial Ownership of Securities), Form 8-A (Registration of Certain Classes of
Securities Pursuant to Section 12(b) or (g) of The Securities Exchange Act of 1934), Form 10
(Registration of Securities Under Section 12(b) or 12(g) of Securities Exchange Act of 1934), and
Form 12 (Registration of Securities by Certain Issuers, Which File Reports with Other Federal
Agencies).

The Ownership Reporting System is designed for SEC to verify share balances, to detect liabilities for
short-swing profits, to assist in enforcing relevant anti-fraud provisions, and to produce the monthly
Official Summary of Security Transactions and Holdings.  "Insiders" report to the SEC on a monthly
basis when required.  A monthly data file contains all transactions reported to and received by the
SEC between the 11th of one month and the 10th of the next month.  The data is available the
following month.  For example the June Official Summary contains all transactions reported to and
received by the SEC between May 11 and June 10 and is publicly available in July.

Currently, UNT has 138 files from the SEC Ownership Reporting System (The Ownership Reporting
data is updated monthly for August 1978 - December 2000).  The files are written in ASCII with
record delimiters.  Each record contains the security and issuer; the insider's name, relationship to the
issuer, and nature of ownership; date and type of transaction, number of shares and and value per share;
and holdings at the end of the reporting period.  For more information about the ORS tape, click here to
view the ORS Manual.

The General ORS Tape Layout:





ORS Record Layout Notes

ORS record layouts, covering data received from August 1978 to December 2000 are documented in the ORS manual. There
are seven record layouts for data files covering this time period.  The layouts cover the time periods listed below:

ORS Sample Programs

ORS data files are located in Drive R:\ORS\.  To extract ORS data, use the following sample SAS programs.
(Use sample program 1 to extract ORS record data for the period 8/78 - 12/86).

Sample Programs

1. August 1978 to December 1986 (0878-1286.sas)

2. July 11, 1986 to April 10, 1991 (0786-0491.sas)

3. April 11, 1991 to February 10, 1992 (0491-0292.sas)

4. February 11, 1992 to June 10, 1992 (0292-0692.sas)

5. June 11, 1992 to October 10, 1992 (0692-1092.sas)

6. October 11, 1992 to January 10, 1998 (1092-0198.sas)

7. January 11, 1998 to December 31, 2000 (0198-1200.sas)


NARA Insider Trading in Securities Data (ORS Data Online)

The National Archives and Records Administration (NARA) maintains a website for files from the
SEC Ownership Reporting System.  The NARA website provides online resources which enable
users to search for specific insider transactions and holdings data.  Currently, the website has ORS
monthly files for July 1978 - January 1998.

This is the main page of the NARA insider trading in securities data.  You can select a particular
time period(s) for your investigation.  For example, we select the first month of the available data
(7/11/78 - 8/10/78) by clicking on the "SELECT" tab on the first row.  Next, specify a set of
search criteria to narrow down insider transactions and holdings.  Here, we look for insiders with
direct ownership (D) of the company, who were Chairman of the Board (CB) and/or  President (P)
of the company and engaged in open market purchases (P) and/or sales (S).

Search Criteria
 
Column Title Operator Value
Nature of Ownership CONTAINS ANY VALUE D
Relation Code CONTAINS ANY VALUE CB P
Type of Transaction CONTAINS ANY VALUE P S






Enter the search criteria on this page:
 


 

Search Results:




 

SEC Registration Offering Statistics System (ROS)

Registration Offering Statistics System (ROS) includes records of new corporate security registrations
from January 1970 to December 1988.  There are two general categories of ROS data - one is on
primary securities offerings and the other is on securities registrations.  See Cowan (1999:FM), which
includes a sample of both conventional and exchangeable convertible preferred security issues. For
domestic corporate convertible issues, item codes are 05 and 07, and foreign issue item code is 42
(p.7, ROS User's Guide).

ROS Tape Layout:



ROS data files are located in Drive R:\ROS\.  To extract security offering data from the ROS tape, write the following SAS program,
which reads in every ROS variable.  Of  course, you can read just part of the ROS tape data by changing the "input" statement. For
detailed information about ROS variables, click here for the ROS User's Guide (in pdf format).

Sample SAS program to extract the entire ROS (1970-1988) tape: ROS.sas

Data ROS;

infile 'H:\ROS\ROS7088.ASC';

input SECNUMBER $ 1-5 IssueCount $ 6-7 NAMEOFSSUER $ 8-47 ZIPCODE $ 48-52 GENERALPARTNER $ 53-71 COUNTRYOFORIGIN 72-74 CUSIPNO $ 75-83 MANAGINGUNDERWRITERORAGENT $ 84-103 ZIPCODEOFUNDERORAGENT $ 104-108 TOTISS $ 109-110 SICCODE 111-113 SECTYPE $ 114-115 TYPEOFF $ 116-117 SS $ 118-119 COMPUSTAT $ 120-121 EFFECTIVEDATE $ 122-127 OFFERINGDATE $128-133 FILEDATE $ 134-139 INITIALOFFERING $ 140-141 MARKETLISTING $ 142-143 TAXSHT $ 144-145 INTERESTRATE 146-155 MARURITYDATE $ 156-161 FIRSTCALLABLEDATE $ 162-167 CALLABLEATPLUS 168-177 UNITOFFERING $ 178-179 COD $ 180-181 NOOFSECURITIESEXERCISABLE 182-191 EXERCISPRICE 192-201 BEGINDATE $ 202-207 EXPDATE $ 208-213 NOOFPUBLICSECURITIES 214-223 FACEAMOUNTOFBONDS 224-233 PUBLICOFFERINGPRICE 234-243 UNDERWRITEN $ 244-253 AGENTT $ 254-263 DIRCT $ 264-273 NOOFSECURITIES $ 274-283 OFFERINGPRICE $ 284-293 UNDERWRITTEN $ 294-303 AGENT $ 304-313 DIRECT $ 314-323 EXTENDEDOFFERING $ 324-333 CODES $ 334-335 EXCHANGES $ 336-345 CONVERSIONS $ 346-355 OTHER $ 356-365 CASH $ 366-375 NONCASH $ 376-385 CODE $ 386-387 TOTALREGISTERED $ 388-397 INTERCORPORATEPURCHASERS $ 398-407 FOREIGNPURCHASERS $ 408-417 TOTALCURRENTASSETS $ 418-427 TOTALASSETS $ 428-437 TOTALCURRENTLIABILITES $ 438-447 TOTALLIABILITIES $ 448-457 NETSALES $ 458-467 NETINCOMEBEFORETAX $ 468-477 SHARESOUTSTANDING $ 478-487 YEARINC $ 488-491 MOODYS $ 492-493 SP $ 494-495 REGFORMNO $ 496-497 WITHDRAWALDATE $ 498-503 TYPEBID $ 504-505 CODERANDREVNO $ 506-517 UNDERWRITERCLASS $ 518-519 RESERVFOREXPANSION $ 520-534 UNDERWRITINGSPREAD $ 535-544 DEALERREALLOWANCE $ 545-554 COMPENSATION $ 555-564 WOROPTIONSTOUNDORAGENT $ 565-566 NOOFSHARESEXERCISABLE $ 567-576 EXERCISEPRICE $ 577-586 EXPIRATIONDATE $ 587-592 BEGDATE $ 593-598 OTHEREXPENSES $ 599-608 RESERVEDFOREXPANSION $ 609-638 RESFOREXP $ 639-658 DELAYEDDELIVERYDATE $ 659-664 DELAYEDDELIVERY $ 665-674 SECFILINGFEE $ 675-684 MISC $ 685-686 RESERVED $ 687-700;

run;


This program creates an "output" file call "Ros" in the "WORK" library in SAS explorer.


 


Export "WORK.Ros" to a spreadsheet using export wizard after the SAS program is executed.
Output - all SEC ROS transactions (1970-1988): ROS.xls


 

Source: SEC Ownership Reports Systems (ORS) Manual & SEC Registered Offering Statistics (ROS) User's Guide.