FORM 4 INTEGRATION GUIDE
SEC Form 4 API: filings, transactions and footnotes
Choose between a single Form 4 ownership XML document and quarterly cross-issuer transaction queries. Preserve derivatives, source footnotes and amendments as filed.
Sources checked October 27, 2026 · SEC API editorial
Two workflows. Two different records.
| Your task | Use | Scope |
|---|---|---|
| Inspect one filing and its ownership records | Single-accession ownership XML parser | Transactions and holdings remain distinct record types. |
| Filter across issuers in an imported quarter | /api/v1/insider-transactions | Derivative and nonderivative transaction tables; holdings are not returned by this route. |
Start with an exact Form 4 filter.
curl --fail-with-body 'https://sec-api.dev/api/v1/insider-transactions?period=2026q3&transactionCode=P&form=4&limit=5&facets=true' -H "Authorization: Bearer $SEC_API_KEY"Set SEC_API_KEY on your server. This builder does not execute requests.
form=4 does not include form=4/A. A filing may report several rows, securities, owners or transaction types. Counting the rows as independent purchase decisions produces a different result from counting filings.
Read the code, then the footnote.
- P / S
- Purchase or sale categories that can include private transactions.
- A
- Grant, award or other qualifying acquisition from the issuer.
- M
- Exercise or conversion of a qualifying derivative security.
- F
- Shares delivered or withheld for specified exercise-price or tax obligations.
These are abbreviated explanations, not the complete SEC code list. Use the official Form 4 instructions and the actual footnote text to interpret a particular row. A reported transaction is not a prediction of future performance.
RESEARCH CHECKLIST
From source row to usable evidence.
| Keep this field | Why it matters | Common analytical mistake |
|---|---|---|
| Accession and source row | Makes a result traceable to its filing and table. | Deduplicating unrelated records because their dates and amounts match. |
| Transaction code and direction | Separates purchases, awards, exercises and withholding. | Treating every acquisition as a discretionary purchase. |
| Derivative versus nonderivative | Keeps instrument categories distinct. | Adding option-related activity directly to common-share activity. |
| Ownership and footnotes | Preserves direct/indirect relationships and explanatory context. | Assigning a transaction to the wrong person or ignoring a qualification. |
| Snapshot and filters | Lets another analyst reproduce the same traversal. | Mixing pages across different imports or silently truncating results. |
Before you ship a screener
- Test an empty result and an invalid filter separately; they represent different outcomes.
- Store the query, snapshot and completion status next to your export.
- Inspect representative source footnotes before assigning investment meanings to codes.
- Separate filings, transaction rows, reporting owners and unique securities in every count.
Can these records establish insider trading or investment returns?
No. A disclosed transaction alone does not establish unlawful trading. Returns require additional execution, position, corporate-action and valuation information. These pages show reported activity and its source context; they do not supply a verified performance history.
Sources, coverage and next steps
SEC insider transaction archive catalog ↗ · Official Form 4 instructions ↗ · Our data-quality limits ↗
Corporate insider ownership reports do not by themselves establish illegal trading. Do not conflate this API with congressional financial disclosures.