Insider Trading (Search by Ticker)

Insider trading (Search by Ticker) tracks the insider transactions of specific company. The insider transactions are filed on Form 3/4/5 to the SEC by president, director, CEO, CFO, 10% Owner, and any other material individuals or entities. The information is updated daily around 4:30 AM CDT.

• Configurations
• Insider Sentiment
• Major Shareholders
• Non-derivative/Derivative Transactions
• Form 3
• West Panel

Configurations

Query Box: Input ticker(s) here. You can query up to 8 (tier ≥ 1) or 2 (guest or tier 0) tickers at the same time.

Month Back: Show transaction records of how long ago.

%(Owned): The minimum threshold of percentage of transaction shares to remaining shares (denominator). For acquisitions, the denominator is remaining shares after transaction. For dispositions, the denominator is shares owned before transaction.

‱(Shares Outstanding): The minimum threshold of permyriad (1 in ten thousand) of transaction shares to shares outstanding. Transactions below this threshold will not be displayed

Transaction Code: Limit the query to specific transaction type(s), as explained in Form 4.

Note that the configurations above affect Non-derivative/Derivative transactions, Form 3 table, and west panel. The "Insider Sentiment" and "Major Shareholders" sections are not affected.

Insider Sentiment

This section shows the 3-month and 6-month vital&spontaneous^* transaction count and shares amount. The horizontal bar chart illustrates shares amount. Acquisitions have green color

Dispositions have red color

The black thin line is a constant size ruler for easy comparison between 3-month and 6-month data.
The pie charts under "Ids/Sec/Mkt Quant" field illustrate quantile ranking of transaction count among industry peers, sector peers, and the US market, respectively.

Major Shareholders

This table shows the major shareholders in descending order of shares owned.

Shareholder: The name of shareholder. Click to open holding details (reported on Form 3/4/5) of specific shareholder in a new window. See Insider Trading (Search by Reporter) for detail.

Report Date: The last time a Form 3/4/5 filing was filed by the shareholder.

Holding Pct: The percentage of shares owned relative to shares outstanding.

Shares: Total shares owned in both direct and indirect accounts. The percentages in parentheses are changes comparing with previous report and 3 months ago, respectively. The latter is shown as NA when no change was found in the last 3 months.

Shares(Previous Report Date): The shares owned in previous report, and the corresponding date of report.

Transactions (3-month/6-month): The vital&spontaneous^* transaction count and shares amount of corresponding insider. "C:" count of number of transactions. "S:" shares amount involved in corrresponding transactions. "P:" average per share price of the transactions (for reference only). Horizontal bar chart denotes shares amount of acquisitions and dispositions.

In the above example, Luciano Juan R acquired 5457 shares of ADM at price of $36.56 per share in 1 vital&spontaneous^* transaction in the past 3 months. The black thin line is a constant size ruler for easy comparison between reporters and between 3-month and 6-month data.

^* For acquisitions, code P (open market purchase), L (small acquisition), and I (at discretion of broker) are counted. For dispositions, code S (open market sell), D (sell back to issuer) and I (at discretion of broker) are counted. Other codes like code F (tax payment by security), G (gift) are less important in decision making and not considered.

Non-derivative/Derivative Transactions

The table shows the transactions of non-derivative/derivative securities filed on Form 4/5 as well as corresponding amendments. Purchasing, acquisition, or related operations that result in an increase of the holding shares are labeled as "acq"(Acquisition) and colored with green background. Any operations that cause a decrease in the holding shares are labeled as "dsp"(Disposition) and colored with red background. For each single Form 4/5 filing, multiple transactions (with either same or different transaction codes) that have the same security, account, and operation type will be shown in one line (as shown below).

Quick Search: Type in any keyword string (case insensitive) to quickly narrow down search results. For example, type "keverian kenneth" to only display filings by Keverian Kenneth M. Type "dsp" to only display dispositions. Type "Direct" to only display direct account. Specifically, type "code_x" ("x" can be any transaction code introduced in Form 4. The underscore is used exclusively in "Code" field) to show transactions with specific code.

Operation Date: A date, or a range of dates when the operation(s) was/were performed.

Original Filing: The type of original filing. Click to open original filing in a new window.

Opr: Type of operation. Possible values are acq(acquisition), dsp(disposition), and holding.

Amount: For holdings, this number represents the holding shares. For acquisitions or dispositions, this number represents the transaction shares.

%(Owned): The percentage of transaction shares to remaining shares (denominator). For acquisitions, the denominator is remaining shares after transaction. For dispositions, the denominator is shares owned before transaction.

‱(SO): The permyriad (1 in ten thousand) of transaction shares to shares outstanding.

Avg Prc: Average transaction price for securities of the same type. Check the original form for detailed prices of multiple transactions.

Account: This field can be either "Direct" account, or indirect account with specific account name (e.g. "Spouse", "Trust").

Type: Type of security.

Full Name: Full name of the issuer of the security.

Code: Transaction code. See Form 4 for details.

Remain: The remaining shares after transaction (acq/dsp). Note that holding shares are shown in "Amount" field. For multiple transactions, a thumbnail table will be displayed. Mouse over the thumbnail to shown all transactions.

Shares Outstanding: Outstanding shares at the time of transaction.

Form 3

This table is similar to non-derivative/derivative tables,

West Panel

The west panel provides a quick graphic view of the records shown in non-derivative and derivative tables. Mouse over any bar to show transaction details. Click any bar to highlight corresponding record in non-derivative or derivative table.

• Transaction shares amount

  The transaction shares amount is shown in thousand shares per unit. See example below.
  
  

  Click the bar shown above will highlight corresponding transaction records in non-derivative table.

  Note that Code M (exercise derivative security) and C (conversion of derivative security) are recognized as acquisition operation (shown as green bars), and are most likely followed by open market sell(code S) or tax payment(code F). You can turn off these two code types in the options panel to remove the interference.
  

• Relative to shares owned (%)(non-derivative)

  For acquisition, the Y axis [shares owned (%)] represents the percentage of transcation amount over remaining shares after transaction.

  For disposition, the Y axis [shares owned (%)] represents the percentage of transaction amount over the shares owned before transaction.

• Relative to shares owned (%)(derivative)

  The calculation is similar to the logic above but relative to remaining derivative shares.