---
title: "Form 3 / 5 insider holdings for one issuer CIK"
method: GET
path: "/api/v1/sec/edgar/insider/{cik}/holdings"
tags: ["SEC EDGAR"]
---

# Form 3 / 5 insider holdings for one issuer CIK

`GET /api/v1/sec/edgar/insider/{cik}/holdings`

Insider beneficial-ownership holdings reported on Form 3 (initial statement) and Form 5 (annual statement) for the given issuer CIK in the inclusive [from_date, to_date] window. One row per holding; the row's ``form`` field is '3' or '5'. Form 5 holdings carry ``is_annual=True``; Form 3 holdings omit the flag (additive). Derivative-only fields (conversion/exercise price, expiration, underlying security) are null for non-derivative holdings. CIK accepted as 10-digit zero-padded or unpadded; canonicalised server-side. Retention 365 days; out-of-window from_date returns 422.

## Path parameters

- `cik` string, required — Issuer CIK (10-digit zero-padded or unpadded).

## Query parameters

- `from_date` string, required — Inclusive window start (YYYY-MM-DD).
- `to_date` string, required — Inclusive window end (YYYY-MM-DD).

## Response `200`

Insider holdings payload.

- EnvelopeSecEdgarInsiderHoldingsPayload
  - `data` SecEdgarInsiderHoldingsPayload, required — Response payload for ``/insider/{cik}/holdings``.
    - `cik` string, required — Issuer CIK (10-digit zero-padded).
    - `company_name` string, nullable — Issuer company name.
    - `from_date` string, required — Inclusive window start (ISO).
    - `to_date` string, required — Inclusive window end (ISO).
    - `holdings` InsiderHolding[], required — Insider holdings on this issuer in the window, fanned across Form 3 (initial) and Form 5 (annual) filings. Each row carries its source ``form`` ('3' or '5').
      - `filing_accession` string, nullable — SEC accession of the filing.
      - `filed_at` string, nullable — Filing publish timestamp (ISO).
      - `holding_id` integer, nullable — Unique-within-filing holding counter (int, matches the ingest writer).
      - `form` string, nullable — Source form: '3' or '5'.
      - `is_amendment` boolean, nullable — True for Form 3/A or Form 5/A (amendment).
      - `amends_accession` string, nullable — Accession of the original Form 3 or Form 5 when is_amendment=True.
      - `reporting_owner_cik` string, nullable — CIK of the reporting officer / director (10-digit zero-padded).
      - `reporting_owner_name` string, nullable — Reporting owner name.
      - `is_director` boolean, nullable — Reporting owner flagged as director.
      - `is_officer` boolean, nullable — Reporting owner flagged as officer.
      - `is_ten_percent_owner` boolean, nullable — Reporting owner flagged as a 10% owner.
      - `officer_title` string, nullable — Officer title when is_officer=True.
      - `is_derivative` boolean, nullable — True for derivative-security holdings.
      - `security_title` string, nullable — Security title.
      - `shares_owned` number, nullable — Shares beneficially owned.
      - `direct_or_indirect` string, nullable — Direct ('D') or indirect ('I') ownership form.
      - `nature_of_ownership` string, nullable — Nature of indirect ownership when applicable.
      - `conversion_or_exercise_price` number, nullable — Conversion or exercise price (derivative only).
      - `exercise_date` string, nullable — Exercise date (derivative only, ISO).
      - `expiration_date` string, nullable — Expiration date (derivative only, ISO).
      - `underlying_security_title` string, nullable — Underlying security title (derivative only).
      - `underlying_security_shares` number, nullable — Underlying security share count (derivative only).
      - `primary_doc_url` string, nullable — URL of the Form 3 or Form 5 XML document.
      - `is_annual` boolean, nullable — True for holdings sourced from a Form 5 annual statement; absent/null for Form 3 rows (additive, never False on Form 3).
      - `period_of_report` string, nullable — Period of report (Form 5 rows only, ISO).
  - `meta` SugraMeta, required — Metadata attached to every /api/v1/* response envelope.
    - `endpoint` string, required — Requested endpoint path.
    - `data_time` string, required — ISO 8601 UTC timestamp of the source data, not of the request.
    - `response_time` string, required — ISO 8601 UTC timestamp when this response was produced.
    - `provider` string, required — API name and version.
    - `source` string, nullable — Identifier of the primary upstream source used for this response.
    - `attribution` string, nullable — Human-readable attribution mandated by an upstream source (e.g. a securities regulator or self-regulatory organization). Present only on responses whose source requires the owner and source to be clearly identified. Do not remove or alter it when using the response.
    - `fallback_used` boolean, nullable — True when the primary source failed and a fallback produced the data.
    - `fallback_chain` string[], nullable — Ordered list of sources attempted, in the order they were tried.
    - `cached` boolean, nullable — True when this response was served from the internal cache.
    - `stale` boolean, nullable — True when the cached response was returned after the upstream rate-limited or errored. Clients can use this to detect degraded data.

## Other responses

- `401` — Missing or invalid `x-api-key` header. JSON body with a stable `code` distinguishing `missing_api_key` (no header sent) from `invalid_api_key` (header sent, key not accepted); any other 401 source carries the generic `unauthorized` with its detail as `reason`. Plus `hint`. `plan` is always null on 401 - an unauthenticated request has no plan; quota exhaustion is 429, not 401.
- `422` — Validation Error
- `429` — Daily rate limit exceeded. Check `X-RateLimit-Reset` for the next window.
- `503` — Upstream source is temporarily unavailable. Retry after a short delay.

---

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