Patents by Inventor JAMES ANDREW NEAL

JAMES ANDREW NEAL has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • Publication number: 20110087618
    Abstract: A system for creating, administering, executing and reporting of Rule 10b5-1 trading plans, and similar trading plans. The system comprises one or more computer programs or modules operating on a server connected to a network, accessed through a web browser or portal program operating on a computing device connected to the network. Users include, but are not limited to, brokers, issuers of securities, and executives or insiders engaging in transactions, or their accountants, financial planners, or other representatives. One or more users can create, finalize, and approve a trading plan. The system allows issuers and executives or insiders access to trading plan data and allows them to operative proactively. Plans may be created, reviewed and approved with the system, as opposed to physically reviewing numerous hard copies. The system may be equipped with a plurality of different investment and liquidation strategies, allowing for a more efficient plan creation process.
    Type: Application
    Filed: October 11, 2010
    Publication date: April 14, 2011
    Inventors: BARRY EDWARD PAPINA, JAMES ANDREW NEAL