Insider Transactions

Insider ownership and trading activity

About This Category

The Insider Transactions category tracks ownership and trading activity by company insiders - officers, directors, and significant shareholders. These filings can provide valuable insight into how those closest to a company view its prospects.

Why Insider Filings Matter

  • Insiders have deep knowledge of their company's operations and prospects
  • Significant insider buying may signal confidence in the company's future
  • Large insider sales might indicate concerns (though there are many legitimate reasons for sales)

Forms in This Category

Click on any form to learn more about it and see the official SEC documentation.

Form Name Description SEC Link
3 Initial Statement of Beneficial Ownership Initial filing required when a person becomes an officer, director, or beneficial owner of more than 10% of a class of equity securities.
3/A Initial Statement Amendment Amendment to a previously filed Form 3.
4 Statement of Changes in Beneficial Ownership Filed to report changes in ownership by officers, directors, and 10% owners. Must be filed within 2 business days of the transaction.
4/A Statement of Changes Amendment Amendment to a previously filed Form 4.
5 Annual Statement of Beneficial Ownership Annual report of holdings and transactions by officers, directors, and 10% owners not previously reported on Form 4.
5/A Annual Statement Amendment Amendment to a previously filed Form 5.

Related Categories

Earnings & Financials

Annual and quarterly reports, current reports, and foreign issuer reports

Offerings & Registrations

IPOs, secondary offerings, and registration statements

Proxy & Governance

Proxy statements and shareholder voting materials

Ownership Reports

Major shareholder and institutional ownership filings