Form 3
GET
/stocks/filings/vX/form-3
This endpoint is free to use during the early-access beta period. Features may change or move to different plans later.
Retrieve SEC Form 3 filings that report the initial beneficial ownership of securities by corporate insiders (directors, officers, and 10%+ shareholders). These filings establish the baseline ownership position when an insider first becomes subject to Section 16 reporting requirements.
Use Cases: Tracking new insider positions, monitoring executive and director ownership, due diligence on large shareholders, building ownership databases, and regulatory compliance checks.
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Stocks BasicFree
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Stocks Starter$29/mo
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Stocks Developer$79/mo
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Stocks Advanced$199/mo
Updated daily
Stocks BasicFree
Updated daily
Stocks Starter$29/mo
Updated daily
Stocks Developer$79/mo
Updated daily
Stocks Advanced$199/mo
Updated daily
Plan Recencyloading..
Plan HistoryNot applicable to this endpoint
Query Parameters
issuer_cik
string
SEC Central Index Key of the issuer company (10 digits, zero-padded).
owner_cik
string
SEC Central Index Key of the reporting owner (10 digits, zero-padded).
tickers
string
Filter for arrays that contain the value.
form_type
string
SEC form type ('3' for initial filing, '3/A' for amendments).
filing_date
string
Date when the filing was submitted to the SEC (formatted as YYYY-MM-DD). Value must be formatted 'yyyy-mm-dd'.
limit
integer
Limit the maximum number of results returned. Defaults to '100' if not specified. The maximum allowed limit is '10000'.
sort
string
A comma separated list of sort columns. For each column, append '.asc' or '.desc' to specify the sort direction. The sort column defaults to 'filing_date' if not specified. The sort order defaults to 'desc' if not specified.
Response Attributes
next_url
string
optional
If present, this value can be used to fetch the next page.
request_id
string
A request id assigned by the server.
results
array (object)
The results for this request.
accession_number
string
optional
Unique SEC accession number for the filing (e.g., '0001209191-25-012345').
aff_10b5_one
boolean
optional
Whether the transaction was made pursuant to a Rule 10b5-1 trading plan.
date_of_original_submission
string
optional
Date of the original filing submission for amendment filings (3/A). Null for initial filings (formatted as YYYY-MM-DD).
direct_or_indirect
string
optional
Whether ownership is direct ('D') or indirect ('I').
exercise_date
string
optional
Date exercisable for derivative securities (formatted as YYYY-MM-DD).
exercise_price
number
optional
Exercise or conversion price of derivative securities in USD.
filing_date
string
optional
Date when the filing was submitted to the SEC (formatted as YYYY-MM-DD).
filing_url
string
optional
Direct URL to the filing on the SEC EDGAR website.
footnotes
array (object)
optional
List of footnotes from the filing that are relevant to this row, each with an id and description.
form_type
string
optional
SEC form type ('3' for initial filing, '3/A' for amendments).
is_director
boolean
optional
Whether the reporting owner is a director of the issuer.
is_officer
boolean
optional
Whether the reporting owner is an officer of the issuer.
is_other
boolean
optional
Whether the reporting owner has another relationship with the issuer.
is_ten_percent_owner
boolean
optional
Whether the reporting owner holds 10% or more of a class of equity securities.
issuer_cik
string
optional
SEC Central Index Key of the issuer company (10 digits, zero-padded).
issuer_name
string
optional
Name of the issuer company as reported in the filing.
nature_of_ownership
string
optional
Nature of indirect ownership (e.g., 'By Trust', 'By Spouse').
not_subject_to_section_16
boolean
optional
Whether the reporting owner is not subject to Section 16 of the Securities Exchange Act.
officer_title
string
optional
Title of the officer, if the reporting owner is an officer.
owner_cik
string
optional
SEC Central Index Key of the reporting owner (10 digits, zero-padded).
owner_name
string
optional
Name of the reporting owner (individual or entity).
period_of_report
string
optional
Date of the event triggering the filing (formatted as YYYY-MM-DD).
remarks
string
optional
Additional remarks included in the filing.
security_title
string
optional
Title or description of the security (e.g., 'Common Stock', 'Stock Option').
security_type
string
optional
Type of security ('non-derivative' or 'derivative').
shares_owned
number
optional
Number of shares beneficially owned.
tickers
array (string)
optional
A list of ticker symbols for the issuer company. Multiple symbols may indicate different share classes.
underlying_security_shares
number
optional
Number of underlying shares for derivative holdings.
underlying_security_title
string
optional
Title of the underlying security for derivative holdings.
status
enum (OK)
The status of this request's response.
Code Examples
Query URL
GET
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Response Object