................atomic batteries to power............turbines to speed.............
This is Batman.
RAP,
I had already thought of what you just asked and looked on Bloomberg. Waite's name doesn't appear on the 144 list. But that doesn't mean he didn't sell. He could have easily sold and simply broken SEC regulations by not filing the form. I know--I have seen this before. There is a tendency to believe things like SEC filings (because they are "government" or "federal"), but actually, they are rather deficient in a way. The SEC does not have any active method of enforcement. Their Enforcement Division is REACTIVE. I know--I've dealt with them before. Thus, not filing the form is quite easy to do. However, if Waite trips up and gets caught for something, and the Enforcement Division then decides to go look at his brokerage accounts, and they find he hasn't filed, then he is in deep bat droppings. It's quite easy to go along and break numerous SEC regulations with impunity . . . as long as you don't trip up and gain their attention and they start looking at you.
The only other way to determine if he has sold, is to be able to look at the transfer agent's books. And as the thread recently found out, that transfer agent is in Waite and See's camp.
So no, I think the answer to your question is: "No, there is no conclusive way of finding out." Although, I suppose if you really wanted to get to the bottom of it, you could depose the transfer agent and subpoena the records. I am not a lawyer, but you may or may not have to show cause.
Batman |
