Form 3: initial statement of beneficial ownership.
Form 3 is the first ownership report a company insider files. It lists the securities the person beneficially owns on the day they become a director, officer or 10% holder.
- Filed by
- Officers
- Deadline
- Within 10 days after becoming an insider (and by the effective date of registration for an IPO)
- Observed filings
- 163
- Volume rank
- #15 of 162 forms
Who files Form 3
Officers, directors and holders of more than 10% of a class of registered equity securities (Section 16 insiders).
When it is due
Within 10 days after becoming an insider (and by the effective date of registration for an IPO).
What it contains
- Non-derivative holdings (Table I)
- Derivative holdings such as options (Table II)
- Footnotes explaining indirect ownership
Recent Form 3 filings we observed
| Filed | Company | Form | Accession |
|---|---|---|---|
| 2026-11-09 | Immuneering Corp | 3 | 0001790340-26-000101 |
| 2026-11-09 | Bogle Grant C. | 3 | 0001790340-26-000101 |
| 2026-11-09 | Edmonds Franklin S. Jr. | 3 | 0001738827-26-000073 |
| 2026-11-09 | KLX Energy Services Holdings, Inc. | 3 | 0001738827-26-000073 |
| 2026-11-09 | Oconnor Julie Allison | 3 | 0002162389-26-000010 |
| 2026-11-09 | MVB FINANCIAL CORP | 3 | 0002162389-26-000010 |
| 2026-11-09 | ROIZEN GOTTLIEB RICARDO | 3 | 0001104659-26-124506 |
| 2026-11-09 | Fluence Energy, Inc. | 3 | 0001104659-26-124506 |
| 2026-11-09 | Winslow Lauren Ferretti | 3 | 0001437749-26-035841 |
| 2026-11-09 | Guerrilla RF, Inc. | 3 | 0001437749-26-035841 |
| 2026-11-09 | Bubble Holdings, LLC | 3 | 0002162656-26-000004 |
| 2026-11-09 | GP Cash Management, Ltd. | 3 | 0002162656-26-000004 |
Variants in the sample: 3 (157), 3/A (6).
Get Form 3 filings through the API
Filter filing metadata by exact form type. Amendments carry their own form label (for example 3/A), so request them separately.
curl "https://sec-api.dev/api/v1/insider-transactions?period=2026q3&form=3&limit=5" \
-H "Authorization: Bearer $SEC_API_KEY"API reference · Free key, 1,000 requests a month · SEC source for this form
Questions
What is SEC Form 3?
Form 3 is the first ownership report a company insider files. It lists the securities the person beneficially owns on the day they become a director, officer or 10% holder.
When is Form 3 due?
Within 10 days after becoming an insider (and by the effective date of registration for an IPO).
Who files Form 3?
Officers, directors and holders of more than 10% of a class of registered equity securities (Section 16 insiders).
Does a Form 3 report a trade?
No. It is a holdings snapshot at the start of insider status. Changes after that are reported on Form 4, and certain exempt changes on Form 5.
Related forms
Plain-text version for agents and LLMs: /sec-forms/form-3.md
Independent. Not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission. Data is reproduced from public SEC filings and datasets. Not investment advice.