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-5
Form 5 (annual ownership)
Medium signalDefinition
Annual beneficial ownership statement. Form 5 is used to report transactions that were not required to be reported on a Form 4 during the year (typically small or exempt transactions, or compensation that was not reportable in real time). Useful for completeness and delayed reporting, 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
- Annual completeness only
- Frequency
- Filed annually by continuing insiders
- Slug
form-5