Defendant Name: Alphabet Inc.

Defendant Type: Public Company
SIC Code: 7375
CUSIP: 02079K30

Initial Case Details

Legal Case Name In the Matter of Alphabet Inc.
First Document Date 25-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22181
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Other
• Sections 16(a), 13(f)(1) Exchange Act; Rules 13f-1, 16a-3

Resolutions

First Resolution Date 25-Sep-2024
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-101165 25-Sep-2024 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order
On September 25, 2024, the SEC institute settled cease-and-desist proceedings against Alphabet Inc., stating: "These proceedings arise out of violations of certain securities ownership reporting requirements of the federal securities laws."
2024-148_3-22181 25-Sep-2024 Press Release--Administrative Proceeding
SEC Levies More Than $3.8 Million in Penalties in Sweep of Late Beneficial Ownership and InsiderTransaction Reports
The Commission stated: "The Securities and Exchange Commission today announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock. Two public companies were also charged for contributing to filing failures by their officers and directors and failing to report their insiders' filing delinquencies as required."