The short answer
SEC Forms 3, 4 and 5 are insider-ownership reports filed by a public company’s officers, directors and holders of more than 10% of a registered class of its equity. Form 3 is the initial statement, Form 4 reports changes — generally within two business days — and Form 5 is an annual statement for certain transactions.
At a glance
- Term
- SEC Forms 3, 4 and 5
- Also known as
- insider filings · Form 4
- Category
- Registers & filings
- Where it matters
- Company and founder due diligence
SEC Forms 3, 4 and 5 in practice
Insider filings show who the insiders are and when they buy or sell. They are public on EDGAR soon after each transaction.
Form 4 transactions carry codes — open-market purchases and sales, option exercises, gifts and grants are coded differently — so the code matters more than the headline number.
Why SEC Forms 3, 4 and 5 matter
- Identifies officers and directors with primary-source evidence.
- Insider buying and selling is widely watched context for public companies.
SEC Forms 3, 4 and 5 in MarketPrior
MarketPrior reads Forms 3, 4 and 5 as a source of officers, directors and their contact context for US public companies, alongside SEC submissions data.