# 🆕 SEC Form 3 New Insider & 10% Owner Tracker (`nexgendata/sec-form-3-new-insider-tracker`) Actor Track SEC Form 3 filings: new corporate insiders and new 10% beneficial owners (initial ownership). For activist-watch, governance, and insider-tracking. - **URL**: https://apify.com/nexgendata/sec-form-3-new-insider-tracker.md - **Developed by:** [NexGenData](https://apify.com/nexgendata) (community) - **Categories:** Business - **Stats:** 2 total users, 0 monthly users, 100.0% runs succeeded, 0 bookmarks - **User rating**: No ratings yet ## Pricing from $20.00 / 1,000 symbol returneds This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-event ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours, and optionally produces a well-defined JSON output, datasets with results, or files in key-value store. In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server. Actors are written with capital "A". ## How to integrate an Actor? If asked about integration, you help developers integrate Actors into their projects. You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## 🆕 SEC Form 3 New Insider & 10% Owner Tracker **Catch every new corporate insider and every new 10%+ beneficial owner the moment they register with the SEC — Form 3 initial-ownership filings, delivered as pay-per-result JSON, $0.10 per filing. No Bloomberg Terminal seat, no insider-data subscription.** A Form 3 is the very first filing a person makes when they become an insider of a public company — a newly appointed director or officer, or a new holder crossing the 10% beneficial-ownership threshold. It's the leading edge of insider activity: before anyone files a Form 4 to report a trade, they must first appear on a Form 3 to declare they're an insider at all. For activist-watchers a new 10% owner is the first public footprint of an accumulating stake; for governance and insider-tracking desks, a wave of new officer/director Form 3s flags a board reshuffle or a change of control. This actor reads the official SEC EDGAR ownership-form index for Form 3 filings, optionally narrows by keyword, and returns each as a clean structured row with company, ticker, form type, filing date, and a direct EDGAR document URL. ### Why use this Insider and ownership intelligence is gated behind expensive terminals and specialist data vendors. Bloomberg's insider-transaction analytics, Refinitiv's ownership feed, and dedicated activist-watch services all charge four- to five-figure annual sums and lock the data behind a per-seat login you cannot pipe into your own model. The underlying source they all parse is the same public Form 3 filings this actor reads — and Form 3, specifically, is where a new 10% owner or new officer/director first surfaces, before any Form 4 trade exists to flag them. This actor solves the discovery problem. It queries EDGAR for the Form 3 ownership form, lets you AND an optional exact-phrase keyword onto the form filter (to target a company or sector), de-duplicates, and returns a clean feed keyed to the primary EDGAR document. Run it daily and you have a live early-warning system for new insiders and accumulating owners — for cents per filing instead of a terminal seat. ### What you get Every record is structured JSON with the fields below, populated wherever the underlying EDGAR filing provides them: - `companyName` — the issuer the new insider is reporting against, as registered with the SEC - `ticker` — exchange ticker symbol when EDGAR maps the issuer to one (null for issuers without a mapped symbol) - `formType` — the ownership form (Form 3 — initial beneficial ownership) - `filedDate` — the date the filing was accepted by EDGAR (YYYY-MM-DD) - `documentUrl` — direct link to the primary Form 3 document on sec.gov, where the reporting person, role, and initial holdings appear The schema is stable across runs, so you can load straight into Snowflake, BigQuery, Postgres, or your CRM without re-mapping each refresh. ### Use cases - **Activist-stake early warning** — Run daily, append new Form 3s keyed on `companyName` + `filedDate`, and flag any issuer where a new 10% beneficial owner appears — often the first public footprint of an activist or strategic accumulating a position before a 13D campaign goes loud. - **Board / management change detection** — A cluster of new officer/director Form 3s against one issuer signals a board refresh, executive turnover, or post-acquisition reconstitution; surface these for governance and event-driven research. - **Insider-tracking pipeline seeding** — Use Form 3 as the registry of who is an insider, then join to Form 4 monitoring so every subsequent buy or sell by that person is already mapped to a known insider from day one. - **Corporate-governance and ESG research** — Track new-director appointments across a sector to study board independence, diversity, and tenure trends from the primary filings. - **M&A and control-change monitoring** — New 10% owners and new officer/director slates often accompany takeovers and going-private deals; pair Form 3 with tender-offer feeds to catch control changes early. - **Investor-relations competitive intelligence** — IR teams watch which new institutions or individuals cross 10% in peer companies to anticipate shareholder-base shifts. - **Quant and event research** — Pull a historical window with `startDate`/`endDate` to study whether new-insider and new-10%-owner events precede abnormal returns. ### Sample output ```json { "companyName": "INITECH HOLDINGS INC", "ticker": "INTC", "formType": "3", "filedDate": "2026-06-23", "documentUrl": "https://www.sec.gov/Archives/edgar/data/0001654321/000165432126000012/xslF345X03/form3.xml" } ```` ### Input parameters | Parameter | Label | Description | | --- | --- | --- | | `forms` | Form types | SEC ownership forms to search (3 = initial beneficial ownership / new insiders & 10% owners). | | `query` | Keyword (optional) | Optional exact-phrase keyword to AND with the form filter, to narrow by company or sector. | | `daysBack` | Days back | Look back this many days from today (ignored if `startDate`/`endDate` are set). | | `startDate` | Start date | Override the start of the date range (YYYY-MM-DD). | | `endDate` | End date | Override the end of the date range (YYYY-MM-DD). | | `maxResults` | Max results | Maximum number of filings to return. | | `userAgentContact` | SEC User-Agent contact | SEC requires a User-Agent with contact info. | ### How to use #### Python (apify-client) ```python from apify_client import ApifyClient client = ApifyClient("YOUR_TOKEN") run = client.actor("nexgendata/sec-form-3-new-insider-tracker").call(run_input={ "forms": "3", "daysBack": 7, "maxResults": 300, }) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item["companyName"], item["ticker"], item["formType"], item["filedDate"]) ``` #### cURL ```bash curl -X POST "https://api.apify.com/v2/acts/nexgendata~sec-form-3-new-insider-tracker/run-sync-get-dataset-items?token=YOUR_TOKEN" \ -H "Content-Type: application/json" \ -d '{ "forms": "3", "daysBack": 7, "maxResults": 300 }' ``` Schedule it daily via Apify's built-in scheduler and dedupe on `companyName` + `filedDate` into your warehouse. Wire a webhook to fire a Slack or n8n alert whenever a new 10% owner or a cluster of new officer/director filings lands against a watched issuer. ### Pricing This actor runs on Apify's **pay-per-event (PPE)** model — you pay only for results, not run-time: - **$0.10 per filing record** pushed to your dataset - A negligible per-actor-start charge No subscriptions, no seat licences, no per-CPU-second billing. #### Worked cost example A daily scheduled run over the trailing 7 days that surfaces 120 new Form 3 filings: - 120 records × $0.10 = **$12.00** - plus one negligible actor-start charge So roughly **$12 per daily run**, all-in. Narrow with a `query` to a single sector and the count — and the cost — drops accordingly. A full historical backfill of, say, 10,000 Form 3 filings is a one-time ~$1,000 — versus four- and five-figure annual contracts for an equivalent insider/ownership feed inside a terminal. #### Why pay-per-event beats time-based pricing - **Predictable** — cost equals filing count, known before the run. - **Failure-safe** — if EDGAR changes its HTML and a run returns 0 rows, you pay 0. - **Easy to attribute** — 1 filing = 1 unit of cost, so per-strategy or per-desk accounting is trivial. ### How this compares to Bloomberg Terminal | Capability | Bloomberg Terminal (insider / ownership) | SEC Form 3 New Insider & 10% Owner Tracker (this actor) | | --- | --- | --- | | Insider / ownership coverage | Global, analyst-normalized | US SEC EDGAR Form 3 initial-ownership filings | | New-insider / new-10%-owner detection | Yes, within broader ownership analytics | Yes, the dedicated leading-edge signal | | Annual cost | ~$24,000 / seat / year | Pay-per-record, no subscription | | Programmatic access | BLPAPI, seat-locked | Apify REST API + webhooks, no seat lock | | Pipe into your own model / warehouse | Restricted by terms | Native JSON / JSONL / CSV export | If you need fully normalized global ownership analytics with holder-level history and roll-ups, a terminal still does more. But if your specific workflow is catching new insiders and new 10% owners as they first register — the earliest public signal of a stake or a board change — paying per Form 3 record is the right cost model and a 95%+ saving, with the reporting person, role, and initial holdings one click away at `documentUrl`. ### FAQ **Q: How current is the data?** A: As current as EDGAR. Form 3s are accepted and published throughout the trading day; each run queries EDGAR live and picks up new filings within minutes of acceptance. **Q: What exactly does a Form 3 tell me?** A: It's the initial statement of beneficial ownership — filed when someone first becomes a director, officer, or 10%+ owner of a public company. It establishes who the insider is and their starting holdings, before any Form 4 trade is reported. **Q: How is this different from a Form 4 tracker?** A: Form 3 is the registration of a new insider; Form 4 reports their subsequent buys and sells. Form 3 catches a new 10% owner or new officer/director earlier — before any trade exists to flag them on Form 4. **Q: Can I target one company or sector?** A: Yes — pass a company name or keyword to `query`; it's ANDed onto the Form 3 filter so you get only the matching filings. **Q: Why is `ticker` sometimes null?** A: EDGAR maps many but not all issuers to a ticker; some smaller and foreign issuers file without a mapped symbol. `companyName` and `documentUrl` always resolve the entity. **Q: What output formats are supported?** A: JSON, JSONL, CSV, and Excel via Apify's dataset export, plus webhook delivery. ### Schema stability & versioning This actor follows NexGenData's **additive-only schema** contract: - New fields may be **added** at any time — they appear as new JSON keys and default to `null` for older runs. - Existing fields are **never renamed or removed** without a major-version bump and an advance changelog notice. - Field semantics (date formats, form-type values) are **never silently changed** — if a change is needed, we add a new field and keep the old one for at least 90 days. You can build production insider-monitoring pipelines on this actor without an unannounced change breaking your ETL. ### Compliance & legal - The actor reads **public, unauthenticated SEC EDGAR pages** — the same ownership-form index and filing documents any browser can open, with no login. - It identifies itself to the SEC with a compliant User-Agent (set yours via `userAgentContact`) per the SEC fair-access policy, and paces requests politely. - NexGenData is **not affiliated with, endorsed by, or sponsored by** the U.S. Securities and Exchange Commission. "EDGAR" is a service of the SEC. - The Form 3 document at `documentUrl` is the authoritative primary source for the reporting person, role, and holdings and should be verified before any investment or compliance decision. - You are responsible for ensuring downstream use complies with applicable securities laws and the SEC's terms of access. ### Related NexGenData actors Part of NexGenData's **SEC / Disclosure** intelligence suite — pair this actor with: - [SEC Form 4 Insider Monitor](https://apify.com/nexgendata/sec-form-4-insider-monitor?fpr=2ayu9b) — subsequent insider buys and sells, the natural next step after a Form 3 - [SEC Activist Proxy Solicitation Tracker](https://apify.com/nexgendata/sec-activist-proxy-solicitation-tracker?fpr=2ayu9b) — activist campaigns that often begin with a new 10% owner - [SEC Tender Offer & M\&A Tracker](https://apify.com/nexgendata/sec-tender-offer-ma-tracker?fpr=2ayu9b) — takeover bids and control changes - [SEC 8-K Event Monitor](https://apify.com/nexgendata/sec-8k-event-monitor?fpr=2ayu9b) — material events including officer and director changes - [SEC Executive Compensation & Proxy Tracker](https://apify.com/nexgendata/sec-exec-comp-proxy-tracker?fpr=2ayu9b) — board and pay context for new insiders - [Stock Buyback Announcement Tracker](https://apify.com/nexgendata/stock-buyback-announcement-tracker?fpr=2ayu9b) — capital-allocation signals alongside ownership changes Browse the full catalog of 200+ buyer-intent actors at **https://apify.com/nexgendata?fpr=2ayu9b**. # Actor input Schema ## `forms` (type: `string`): SEC ownership forms (3 = initial beneficial ownership / new insiders & 10% owners). ## `query` (type: `string`): Optional exact-phrase to AND with the form filter. ## `daysBack` (type: `integer`): Look back this many days. ## `startDate` (type: `string`): Override start (YYYY-MM-DD). ## `endDate` (type: `string`): Override end (YYYY-MM-DD). ## `maxResults` (type: `integer`): Max filings. ## `userAgentContact` (type: `string`): SEC requires a UA with contact info. ## Actor input object example ```json { "forms": "3", "daysBack": 30, "maxResults": 300 } ``` # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "forms": "3" }; // Run the Actor and wait for it to finish const run = await client.actor("nexgendata/sec-form-3-new-insider-tracker").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`); const { items } = await client.dataset(run.defaultDatasetId).listItems(); items.forEach((item) => { console.dir(item); }); // 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs ``` ## Python example ```python from apify_client import ApifyClient # Initialize the ApifyClient with your Apify API token # Replace '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "forms": "3" } # Run the Actor and wait for it to finish run = client.actor("nexgendata/sec-form-3-new-insider-tracker").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("💾 Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "forms": "3" }' | apify call nexgendata/sec-form-3-new-insider-tracker --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=nexgendata/sec-form-3-new-insider-tracker", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "🆕 SEC Form 3 New Insider & 10% Owner Tracker", "description": "Track SEC Form 3 filings: new corporate insiders and new 10% beneficial owners (initial ownership). For activist-watch, governance, and insider-tracking.", "version": "0.0", "x-build-id": "ArJ8qPtGRCl7U9Jqd" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/nexgendata~sec-form-3-new-insider-tracker/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-nexgendata-sec-form-3-new-insider-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/nexgendata~sec-form-3-new-insider-tracker/runs": { "post": { "operationId": "runs-sync-nexgendata-sec-form-3-new-insider-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/nexgendata~sec-form-3-new-insider-tracker/run-sync": { "post": { "operationId": "run-sync-nexgendata-sec-form-3-new-insider-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "properties": { "forms": { "title": "Form types", "type": "string", "description": "SEC ownership forms (3 = initial beneficial ownership / new insiders & 10% owners).", "default": "3" }, "query": { "title": "Keyword (optional)", "type": "string", "description": "Optional exact-phrase to AND with the form filter." }, "daysBack": { "title": "Days back", "minimum": 1, "maximum": 3650, "type": "integer", "description": "Look back this many days.", "default": 30 }, "startDate": { "title": "Start date", "type": "string", "description": "Override start (YYYY-MM-DD)." }, "endDate": { "title": "End date", "type": "string", "description": "Override end (YYYY-MM-DD)." }, "maxResults": { "title": "Max results", "minimum": 1, "maximum": 1000, "type": "integer", "description": "Max filings.", "default": 300 }, "userAgentContact": { "title": "SEC User-Agent contact", "type": "string", "description": "SEC requires a UA with contact info." } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```