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.
form-3
Form 3 (initial ownership)
Medium signalDefinition
Initial beneficial ownership statement. Form 3 is filed when a person first becomes an insider (officer, director, or 10% owner) of a public company. It establishes the insider's baseline holdings. Useful for setting the starting position, but not the first product feed.
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
- Insider baseline only
- Frequency
- Filed once per insider per issuer at relationship start
- Slug
form-3