SEC Executive Liquidity Signals

Detect commercially relevant executive and insider liquidity events from official SEC Form 4 filings.

This Actor does not simply return raw SEC filings. It filters and scores insider stock-sale activity to surface potentially meaningful liquidity events for wealth management, private banking, financial advisory prospecting, market intelligence, and AI agents.

What this Actor analyzes

The Actor evaluates recent SEC Form 4 filings and focuses on open-market sales reported with transaction code S.

It currently considers:

• Estimated transaction value
• Insider role
• Reported percentage of the position sold
• Shares remaining after the transaction
• Whether a 10b5-1 plan is referenced
• Recent Form 4 history for the same insider
• Whether the sale appears unusually large compared with recent activity
• Whether the event appears to be the first major sale detected in the previous 12 months

Human executive filtering

The Actor attempts to remove reporting owners that appear to be companies, funds, holding companies, investment vehicles, or other entities.

The current version prioritizes individual insiders such as:

• CEO
• Founder
• CFO
• COO
• CTO
• President
• Chair
• Executive Vice President
• Senior Vice President
• Directors
• Other officers
• Individual 10% owners

Signal strength

Each qualified result receives a liquidity score and signal strength.

Possible classifications include:

• MEDIUM
• HIGH
• CRITICAL

Weak signals below the internal qualification threshold are not returned.

Historical signals

The Actor may classify an event as:

• FIRST_MAJOR_SALE_12M
• UNUSUAL_VS_RECENT_HISTORY
• RECURRING_SELLER
• HISTORY_UNAVAILABLE

Historical analysis is based on a limited review of recent SEC Form 4 filings for the same reporting owner.

Example output

{ "signal_type": "EXECUTIVE_LIQUIDITY_EVENT", "signal_strength": "HIGH", "liquidity_score": 82, "base_liquidity_score": 70, "history_score_bonus": 12, "abnormal_liquidity_event": true, "historical_signal": "FIRST_MAJOR_SALE_12M", "first_major_sale_12m": true, "unusual_vs_recent_history": true, "prior_form4_filings_12m": 3, "prior_sale_events_found": 0, "prior_major_sales_found": 0, "largest_prior_sale_usd": null, "analysis_status": "QUALIFIED_SIGNAL_V2", "issuer": "Example Corporation", "ticker": "EXM", "issuer_cik": "0000000000", "insider_name": "Example Executive", "insider_cik": "0000000000", "insider_role": "Chief Executive Officer", "sec_form": "4", "filing_date": "2026-09-01", "transaction_date": "2026-08-31", "estimated_value_usd": 5400000, "total_shares_sold": 25000, "reported_shares_after_sale": 12000, "reported_sale_ratio_pct": 67.57, "transaction_count": 1, "under_10b5_1_plan": false, "why_it_matters": "Example Executive (Chief Executive Officer) at Example Corporation reported approximately $5,400,000 of open-market stock sales. This appears to be the first major sale detected in the previous 12 months.", "source": "SEC EDGAR", "source_url": "https://www.sec.gov/Archives/..." }

Potential use cases

• Wealth management prospecting
• Private banking research
• Executive financial planning
• Tax advisory prospecting
• Estate-planning research
• Sales intelligence
• Market intelligence
• Insider-activity monitoring
• AI agents consuming structured financial-event data

Data source

Source data comes from official SEC EDGAR public filings.

The Actor uses HTTP requests only.

It does not require browser automation, proxies, or paid third-party data providers.

Important limitations

A liquidity signal does not prove that an individual:

• needs financial advice
• intends to move assets
• is seeking a wealth manager
• represents a qualified sales lead

Reported holdings in SEC filings may not represent the insider's complete economic ownership.

Historical analysis is intentionally limited and should be interpreted as a screening signal rather than a complete behavioral profile.

Entity detection is heuristic and may occasionally misclassify a reporting owner.

Disclaimer

This Actor provides structured public-data intelligence.

It does not provide investment, financial, legal, tax, compliance, or suitability advice..