The Trade Desk前财务总监用未公开财报信息做内幕交易 认罪并同意没收33.8万美元
纽约—位于美国纽约州纽约县，纽约南区联邦检察官办公室11月9日宣布，上市公司 The Trade Desk（TTD）前财务总监 Jesse Mitchell 已就一项证券欺诈罪名认罪，他利用雇主的未公开财报信息提前交易，并同意没收338,058.56美元非法所得。
Mitchell 现年48岁，住在加州 Ventura。他于2024年6月加入 TTD，任财务规划与分析团队高级总监，能在财报公开前接触公司的收入、盈利等机密财务数据。按公司规定与受托义务，他不得在持有重大未公开信息时交易，也不得在财报发布前的禁售期内交易，更不得买卖 TTD 期权。
检方称，2024年8月，TTD 公布的第二季度业绩超出此前披露的收入预期，股价随后上涨约12%。Mitchell 在禁售期内、已知道未公开季度业绩的情况下提前买入 TTD 股票，财报公布后卖出，获利约19,696.11美元。
2025年2月，TTD 公布的2024年第四季度业绩低于此前披露的收入预期，这是该公司2016年上市以来首次未达收入预期，股价随后下跌约30%。Mitchell 这次在禁售期内提前买入 TTD 看跌期权，财报公布后全部卖出，获利约318,362.45美元。
Mitchell 在联邦法官 Jennifer H. Rearden 面前认罪。证券欺诈一项最高可判监禁20年，具体刑期由法官裁定，量刑定于2027年3月8日。案件由联邦调查局 FBI 调查，美国证券交易委员会 SEC 提供协助，联邦助理检察官 Justin V. Rodriguez 与 Christy Slavik 负责起诉。联邦检察官 Jamie McDonald 表示，Mitchell 把雇主的机密信息用在了个人获利上。
（来源：美国司法部）
Former Trade Desk Finance Director Pleads Guilty to Insider Trading, Agrees to Forfeit $338,058
NEW YORK — In New York County, New York, the U.S. Attorney's Office for the Southern District of New York announced on November 9 that Jesse Mitchell, a former finance director at The Trade Desk (TTD), pleaded guilty to securities fraud for trading on his employer's material nonpublic information ahead of earnings announcements, and agreed to forfeit $338,058.56 in proceeds.
Mitchell, 48, of Ventura, California, joined TTD around June 2024 as a Senior Director in its financial planning and analysis team, with access to confidential revenue and earnings results before public disclosure. He owed TTD a duty of trust and confidence, and company policy barred him from trading while in possession of material nonpublic information, trading during quarterly blackout periods, and trading TTD options.
In August 2024, TTD published second-quarter results that exceeded its previously disclosed revenue estimate, and its stock price rose approximately 12%. During the blackout period before the announcement, Mitchell bought TTD stock while aware of the nonpublic results, then sold after the announcement, netting approximately $19,696.11.
In February 2025, TTD published fourth-quarter 2024 results that fell below its revenue estimate, its first revenue miss since going public in 2016, and its stock price dropped approximately 30%. During that blackout period Mitchell bought TTD put options, then sold them all after the announcement, realizing approximately $318,362.45 in profits.
Mitchell pleaded guilty before U.S. District Judge Jennifer H. Rearden to one count of securities fraud under Title 15, which carries a maximum sentence of 20 years in prison. Sentencing is scheduled for March 8, 2027. The case was investigated by the FBI, with assistance from the U.S. Securities and Exchange Commission, and is being handled by the Office's Securities and Commodities Fraud Task Force. Assistant U.S. Attorneys Justin V. Rodriguez and Christy Slavik are in charge of the prosecution.
(Source: U.S. Department of Justice)
来源：美国司法部
发布：GSM·美国（发布链接）
图片来源：图：美国司法部总部大楼（GSM联邦固定图库）。 / Photo: U.S. Department of Justice headquarters (GSM federal asset library).
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