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SEC form · Insider trades

Form 4 filings today: latest SEC insider trades

4

Form 4 is how a company's officers, directors and owners of more than 10% of its stock report a trade in that stock. Each row below is one Form 4: the company, the insider who filed it, and what it reports.

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Filings

40

Latest sample

Issuers

16

Daily pace

20.0/day

Latest

Oct 16, 6:30 AM ET

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Form 4

Latest filings

40 filings

Related forms

Code P, last 30 days

Largest open-market buys

Top 5

Last 30 days

Cluster buying

5 companies

Three or more insiders buying their own company’s stock in the same window.

  • TSMTAIWAN SEMICONDUCTOR MANUFACTURING CO LTD30 insiders+$121K
  • BBDBANK BRADESCO22 insiders+$29.1M
  • SPGSIMON PROPERTY GROUP INC.11 insiders+$461K
  • HEIHEICO CORP8 insiders+$1.4M
  • FULFULLER H B CO8 insiders+$1.12M

Reference

About Form 4

Item classification

Who files

Officers, directors and anyone who owns more than 10% of a class of the company's registered stock. They file Form 3 when they become insiders and Form 4 for each change after that.

Due before the end of the second business day after the trade. Forms 3, 4 and 5 submitted by 10 PM ET count as filed that day.

Market dynamics

Transaction codes

P is an open-market or private purchase and S a sale. A is a grant or award, M an option exercise, F shares withheld to pay tax or the exercise price, and G a gift.

Grant and vesting dates bring waves of award and tax-withholding Form 4s. Open-market buys stand out from them.

Key resources

What to look for

Open-market buys, several insiders buying in the same weeks, and a buy that is large next to what the insider already holds. A checkbox shows when a trade was made under a Rule 10b5-1 plan set up in advance.

An insider must file Form 4 before the end of the second business day after the trade. Open-market buys (code P) and sales (code S) are the trades investors watch. Awards, option exercises and shares withheld for tax are pay, not a bet on the stock.

Read the guide: What is Form 4?

Frequently asked questions

How soon must a Form 4 be filed?

Before the end of the second business day after the trade (Form 4 General Instruction 1(a)). A Form 4 submitted to EDGAR by 10 PM ET counts as filed that business day.

What is the difference between Forms 3, 4 and 5?

Form 3 is the first statement of holdings, due within 10 days of becoming an insider. Form 4 reports each change. Form 5 is an annual report of transactions not reported earlier, due within 45 days after the company's fiscal year ends.

Is every Form 4 a trade on the open market?

No. Many report stock awards, option exercises or shares withheld for tax. Look at the transaction code: P is an open-market or private purchase and S a sale.

Why do some Form 4s list more than one insider?

Owners who report the same holdings, such as a fund and its general partner, may file one joint Form 4 (Form 4 General Instruction 4(b)(v)).

Forms, guides and tools

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