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1.发明授权Investment transaction structure in which one party may substitute one investment for another 有权投资交易结构，一方可以用一种投资替代另一方公开(公告)号：US07617139B2
公开(公告)日：2009-11-10
申请号：US11087460
申请日：2005-03-23
申请人： Joel C. Hodes , John A. Roberts
发明人： Joel C. Hodes , John A. Roberts
IPC分类号： G06Q40/00
摘要： In one general aspect, the present invention is directed to methods that may comprise the step of a first party entering into at least one derivative contract with a second party. The derivative contract may provide the second party with a short position on a derivative portfolio including one or more securities. Also, the derivative contract may grant a transferable right to substitute individual securities included in the derivative portfolio. This right may be granted to either the first party or the second party, and the right to substitute may transfer between the first party and the second party under certain conditions. In various embodiments, however, only one of the first party and the second party may have the right to substitute at any one time.
摘要翻译： 在一个一般方面，本发明涉及可以包括第一方与第二方签订至少一个衍生合同的步骤的方法。 衍生工具合约可向第二方提供包含一个或多个证券在内的衍生投资组合的空头头寸。 此外，衍生工具合约可以授予衍生投资组合中包含的个人证券的可转让权。 这项权利可以授予第一方或第二方，而在某些条件下，替代权可以在第一方和第二方之间转让。 然而，在各种实施例中，第一方和第二方中只有一方可能有权在任何一个时间进行替换。
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2.发明授权Investment methods and systems for use in association with a pairs trading strategy 有权与双向交易策略相关联的投资方法和系统公开(公告)号：US07685040B2
公开(公告)日：2010-03-23
申请号：US10865046
申请日：2004-06-10
申请人： Joel C. Hodes , John A. Roberts
发明人： Joel C. Hodes , John A. Roberts
IPC分类号： G06Q40/00
摘要： Investment methods for use by institutional investors are provided. The method may include the steps of selling a call associated with a first group of securities of the investor to a first broker/dealer; entering into a short swap arrangement with an equity swap entity, the short swap arrangement being associated with the call and the first group of securities; entering into a capped swap arrangement with a second broker/dealer based on a second group of securities; and, entering into a long swap arrangement with the equity swap entity based on the second group of securities. Methods for arranging an investment strategy for an institutional investor are also provided.
摘要翻译： 提供机构投资者使用的投资方法。 该方法可以包括将与投资者的第一组证券相关联的呼叫卖给第一经纪人/经销商的步骤; 与股权互换实体进行短期互换安排，短期互换安排与通话和第一组证券相关联; 根据第二批证券与第二经纪人/经销商达成上限交换安排; 并根据第二组证券与股权互换实体进行长期互换安排。 还提供了安排机构投资者投资策略的方法。
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