Start with the filing type
The form number determines whether you are reading an initial holding, a change in ownership, an annual catch-up, or a proposed sale notice.
filing
Filing
Medium signalDefinition
A SEC ownership filing discovered from EDGAR and tracked through ingestion, XML resolution, download, parsing, and processing. Each filing has a durable identity (its accession number) and a lifecycle of states — discovered, XML resolved, XML downloaded, processed, or failed.
How to read this term
Practical filing context for this specific glossary entryUse identifiers carefully
CIKs, accession numbers, and SEC URLs are durable references. They are safer than company names when matching across systems.
Do not mix surfaces
A Form 144 proposed sale is not the same thing as an executed Form 4 sale. Keep proposed-sale context separate from transaction rows.
Quick facts
- Code
- —
- Priority
- Medium signal
- Scope
- All Form 3, 4, 5, and 144 rows in the system
- Slug
filing