Message

Form345

A single transaction row of an insider trade filing (SEC forms 3/4/5/144). One message per row of the filing; same-typed rows are additionally published in aggregated form as InsiderTradeAgg.

fields31 topicsec-filings

▶Proto definition.proto

message Form345 {
  string ticker = 1;
  string filing_date = 2;
  string transaction_date = 3;
  string formtype = 4;
  string owner_name = 5;
  string officer_title = 6;
  bool is_director = 7;
  bool is_officer = 8;
  bool is_ten_percent_owner = 9;
  string security_ad_code = 10;
  string transaction_code = 11;
  int64 shares_owned_before = 12;
  int64 amount = 13;
  int64 shares_owned_after = 14;
  double price = 15;
  string security_title = 16;
  string director_indirect = 17;
  string natureofownership = 18;
  string date_excercisable = 19;
  double price_excercisable = 20;
  string expiration_date = 21;
  string unique_identifier = 22;
  int64 row_num = 23;
  string accession_no = 24;
  string amended_original_accession_no = 25;
  double raw_filing_price = 26;
  bool is_10b5_1 = 27;
  string reporter_cik = 28;
  string issuer_cik = 29;
  bool reporter_disclaimed_ownership = 30;
  string report_period = 31;
}

Fields

ticker string 1

the ticker traded by the insider in the filing that company is the filing's issuer

filing_date string 2

the date the filing was published to the SEC on

transaction_date string 3

the date the filing's transactions were executed

formtype string 4

the SEC filing form type 3: initial statement of beneficial ownership 4: statement of changes of beneficial ownership 5: annual statement 144: notice of proposed sale of restricted or control securities (intended sale, NOT yet completed) .../A: amendment to a prior filing

owner_name string 5

the name of the reporting person owning the traded equity securities

officer_title string 6

the reporting person's officer title in the issuer company, if any exists (e.g. CEO)

is_director bool 7

whether the reporting person serves on the issuer's board of directors

is_officer bool 8

whether the reporting person is an officer of the issuer (e.g., CEO, CFO) typically paired with an officer title field

is_ten_percent_owner bool 9

whether the reporting person beneficially owns more than 10% of a class of the issuer's registered equity securities

security_ad_code string 10

composite transaction type: NA: Non-derivative, Acquired -> insider gained common stock (a buy, grant, or vesting) ND: Non-derivative, Disposed -> insider gave up common stock (a sale, gift, or withholding). DA: Derivative, Acquired -> insider gained a derivative (option/warrant grant, etc.). DD: Derivative, Disposed -> insider gave up a derivative (exercise, expiration, sale).

transaction_code string 11

type of the transaction (e.g. S=Sale, P=Purchase, A=Grant, ...)

shares_owned_before int64 12

the number of holdings owned before the transaction

amount int64 13

the number of holdings traded in the transaction

shares_owned_after int64 14

the number of holdings owned after the transaction

price double 15

the price per security paid in the transaction (corrected in case of mis-inputs, e.g. filer input the total transaction value)

security_title string 16

the name of the security (e.g. "Common Stock")

director_indirect string 17

whether the reporter directly or indirectly owns the equity securities

natureofownership string 18

explains indirect ownership (e.g. "By Spouse", "By Trust")

date_excercisable string 19

date when the derivative becomes exercisable

price_excercisable double 20

the derivative's price to exercise

expiration_date string 21

date when the derivative lapses

unique_identifier string 22

unique identifier computed from multiple fields used to prevent duplication issues

row_num int64 23

the index of the row represented by this message in the filing

accession_no string 24

the filing's accession no

amended_original_accession_no string 25

if the filing is an amendment, this contains the accession no of the amended filing

raw_filing_price double 26

raw price input read from the filing

is_10b5_1 bool 27

whether the transactions were part of a 10b5-1 plan (prearranged trading plan, that lets insiders buy or sell at a preset schedule)

reporter_cik string 28

the CIK of the reporting person

issuer_cik string 29

the CIK of the issuer

reporter_disclaimed_ownership bool 30

whether the reporter disclaimed its ownership of the securities sometimes multiple reporters file the same insider trade via separate filings, but only one reporter really has beneficial ownership of the securities and the other reporters disclaim their beneficial ownership (e.g. because they are only managing entities) those are marked to prevent double counting insider trades

report_period string 31

date the reportable event occurred.