Listed

Form 3

An insider's first statement of what they own in the company, filed within 10 days of becoming an insider.

Updated Oct 17, 2026

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Contents, 2 sections
  1. When it is due
  2. Reading it

Form 3, "Initial Statement of Beneficial Ownership of Securities", is the first filing a new insider makes. It lists the company's securities they own, directly and indirectly, including options and other derivatives.

When it is due

Within 10 days of becoming an insider: being appointed a director or officer, or crossing 10% ownership of a class of registered shares. When a company first registers its shares, as at an IPO, existing insiders file by the date the registration takes effect.

Reading it

A Form 3 is a starting point, not a transaction. It shows no purchase or sale, so Listed does not list it among insider trades. It explains holdings that later Form 4 filings change.

All terms

Related terms

  • Form 4The filing an insider makes within two business days of buying, selling or otherwise changing their holdings of the company's securities.
  • Form 5An insider's annual statement of changes in ownership that were exempt from Form 4 or should have been reported earlier.
  • InsiderA company's directors, its officers and owners of more than 10% of a class of its shares, who must report their trades.

Guides that use it

  • Insider trades: what Form 4 tells youHow to read a Form 4 line by line, which transaction codes are decisions and which are paperwork, and what an insider's trade can and cannot tell you.