# Form 3: Initial statement of beneficial ownership

Canonical: https://sec-api.dev/sec-forms/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.

## Who files it

Officers, directors and holders of more than 10% of a class of registered equity securities (Section 16 insiders).

## Deadline

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 filings observed

| Filed | Company | Form | Filing |
| --- | --- | --- | --- |
| 2026-11-09 | Immuneering Corp | 3 | https://www.sec.gov/Archives/edgar/data/1790340/000179034026000101/0001790340-26-000101-index.htm |
| 2026-11-09 | Bogle Grant C. | 3 | https://www.sec.gov/Archives/edgar/data/1646675/000179034026000101/0001790340-26-000101-index.htm |
| 2026-11-09 | Edmonds Franklin S. Jr. | 3 | https://www.sec.gov/Archives/edgar/data/1845216/000173882726000073/0001738827-26-000073-index.htm |
| 2026-11-09 | KLX Energy Services Holdings, Inc. | 3 | https://www.sec.gov/Archives/edgar/data/1738827/000173882726000073/0001738827-26-000073-index.htm |
| 2026-11-09 | Oconnor Julie Allison | 3 | https://www.sec.gov/Archives/edgar/data/2162389/000216238926000010/0002162389-26-000010-index.htm |
| 2026-11-09 | MVB FINANCIAL CORP | 3 | https://www.sec.gov/Archives/edgar/data/1277902/000216238926000010/0002162389-26-000010-index.htm |
| 2026-11-09 | ROIZEN GOTTLIEB RICARDO | 3 | https://www.sec.gov/Archives/edgar/data/2163694/000110465926124506/0001104659-26-124506-index.htm |
| 2026-11-09 | Fluence Energy, Inc. | 3 | https://www.sec.gov/Archives/edgar/data/1868941/000110465926124506/0001104659-26-124506-index.htm |
| 2026-11-09 | Winslow Lauren Ferretti | 3 | https://www.sec.gov/Archives/edgar/data/2164306/000143774926035841/0001437749-26-035841-index.htm |
| 2026-11-09 | Guerrilla RF, Inc. | 3 | https://www.sec.gov/Archives/edgar/data/1832487/000143774926035841/0001437749-26-035841-index.htm |

## API

`GET https://sec-api.dev/api/v1/insider-transactions?period=2026q3&form=3&limit=5` with `Authorization: Bearer $SEC_API_KEY`

## Questions

**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.

Source: https://www.sec.gov/files/form3data.pdf

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