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William works as foreman for Waddington Woolworks, a Canadian company listed on the TSX. Cathy is president of Canadian Carpet Company, which owns 15 William, Cathy and Donald each purchase shares in Waddington Woolworks. Who is required to file Insider Reports with the securities administrator?

1) William and Donald.
2) Cathy and Donald.
3) William and Cathy.
4) All three are required to file.

1 Answer

4 votes

Final answer:

Insider reports must be filed by insiders, such as corporate officers, directors, or significant shareholders. In this scenario, Cathy is definitely required to file because she is president of a company owning a significant percentage of Waddington Woolworks. The requirement for William and Donald depends on their stake in the company and access to non-public information.

Step-by-step explanation:

In the context of securities trading and regulation, certain individuals such as corporate insiders, who have access to significant, non-public information, are required to file insider reports with the securities administrator when they trade their company's securities. An insider typically includes a company's officers, directors, and significant shareholders (usually those owning more than 10% of any class of outstanding shares). Based on the information provided, Cathy, as president of Canadian Carpet Company, which owns 15% of Waddington Woolworks, and Donald, assuming he holds a similar position or ownership, would be required to file insider reports. William, as a foreman, would typically not fall within these categories unless he also has a considerable stake in the company or if he has received significant, non-public information that could affect stock prices.

Therefore, to answer the question, it would be options 2) Cathy and Donald, if Donald holds a significant stake or position in the company, or 4) All three are required to file, if William's role as foreman provides him with access to important non-public information or if he owns a significant amount of shares.

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