---
title: "GET /stocks/filings/vX/form-3"
method: GET
path: "/stocks/filings/vX/form-3"
tags: ["reference"]
---

# GET /stocks/filings/vX/form-3

`GET /stocks/filings/vX/form-3`

SEC Form 3 filings reporting initial statements of beneficial ownership of securities. Filed by corporate insiders (directors, officers, and 10%+ shareholders) when they first acquire a position.

## Query parameters

- `issuer_cik` string
- `issuer_cik.any_of` string
- `owner_cik` string
- `owner_cik.any_of` string
- `tickers` string
- `tickers.all_of` string
- `tickers.any_of` string
- `form_type` string
- `filing_date` string
- `filing_date.gt` string
- `filing_date.gte` string
- `filing_date.lt` string
- `filing_date.lte` string
- `limit` integer
- `sort` string

## Response `200`

A list of results.

- object
  - `next_url` string — If present, this value can be used to fetch the next page.
  - `request_id` string, required — A request id assigned by the server.
  - `results` object[], required — The results for this request.
    - `accession_number` string — Unique SEC accession number for the filing (e.g., '0001209191-25-012345').
    - `aff_10b5_one` boolean — Whether the transaction was made pursuant to a Rule 10b5-1 trading plan.
    - `date_of_original_submission` string, date — Date of the original filing submission for amendment filings (3/A). Null for initial filings (formatted as YYYY-MM-DD).
    - `direct_or_indirect` string — Whether ownership is direct ('D') or indirect ('I').
    - `exercise_date` string, date — Date exercisable for derivative securities (formatted as YYYY-MM-DD).
    - `exercise_price` number, double — Exercise or conversion price of derivative securities in USD.
    - `filing_date` string, date — Date when the filing was submitted to the SEC (formatted as YYYY-MM-DD).
    - `filing_url` string — Direct URL to the filing on the SEC EDGAR website.
    - `footnotes` object[] — List of footnotes from the filing that are relevant to this row, each with an id and description.
      - `description` string
      - `id` string
    - `form_type` string — SEC form type ('3' for initial filing, '3/A' for amendments).
    - `is_director` boolean — Whether the reporting owner is a director of the issuer.
    - `is_officer` boolean — Whether the reporting owner is an officer of the issuer.
    - `is_other` boolean — Whether the reporting owner has another relationship with the issuer.
    - `is_ten_percent_owner` boolean — Whether the reporting owner holds 10% or more of a class of equity securities.
    - `issuer_cik` string — SEC Central Index Key of the issuer company (10 digits, zero-padded).
    - `issuer_name` string — Name of the issuer company as reported in the filing.
    - `nature_of_ownership` string — Nature of indirect ownership (e.g., 'By Trust', 'By Spouse').
    - `not_subject_to_section_16` boolean — Whether the reporting owner is not subject to Section 16 of the Securities Exchange Act.
    - `officer_title` string — Title of the officer, if the reporting owner is an officer.
    - `owner_cik` string — SEC Central Index Key of the reporting owner (10 digits, zero-padded).
    - `owner_name` string — Name of the reporting owner (individual or entity).
    - `period_of_report` string, date — Date of the event triggering the filing (formatted as YYYY-MM-DD).
    - `remarks` string — Additional remarks included in the filing.
    - `security_title` string — Title or description of the security (e.g., 'Common Stock', 'Stock Option').
    - `security_type` string — Type of security ('non-derivative' or 'derivative').
    - `shares_owned` number, double — Number of shares beneficially owned.
    - `tickers` string[] — A list of ticker symbols for the issuer company. Multiple symbols may indicate different share classes.
    - `underlying_security_shares` number, double — Number of underlying shares for derivative holdings.
    - `underlying_security_title` string — Title of the underlying security for derivative holdings.
  - `status` 'OK', required — The status of this request's response.

## Other responses

- `400` — An error message.

---

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