When does an Investigator need to report stock ownership as an SFI?

GIM-10 defines Equity as "any interest in the profits of or other ownership interest in any commercial or nonprofit enterprise, including common stock and other equity securities, and any right to acquire any of the following such as an option, warrant or other security convertible into an equitable convertible."   If Equity securities are publicly traded, they are an SFI if the value of the Equity is $5000 or greater.  For PHS-Funded Research, this SFI should be disclosed if the Equity interest is related to the Investigator’s Institutional Responsibilities.  For Non-PHS Funded Research, it should be reported if the SFI is related to a proposed or ongoing research project or Technology Transfer Transaction.

Questions? Contact fidshelp@uw.edu