--- title: "GET /stocks/filings/vX/form-5" method: GET path: "/stocks/filings/vX/form-5" tags: ["reference"] --- # GET /stocks/filings/vX/form-5 `GET /stocks/filings/vX/form-5` ## Request - Base URL: `https://api.massive.com` - URL: `https://api.massive.com/stocks/filings/vX/form-5` - Auth: API key in query parameter `apiKey` SEC Form 5 filings: annual statements of changes in beneficial ownership of securities. Filed by corporate insiders (directors, officers, and 10%+ shareholders) within 45 days of the issuer's fiscal year end to report transactions that were exempt from or deferred from Form 4, and any Form 4 transactions that were not reported on time. A filing with several reporting owners has one row per owner for each transaction or holding. ## Query parameters - `issuer_cik` string - `issuer_cik.any_of` string - `owner_cik` string - `owner_cik.any_of` string - `tickers` string - `tickers.all_of` string - `tickers.any_of` string - `form_type` string - `filing_date` string - `filing_date.gt` string - `filing_date.gte` string - `filing_date.lt` string - `filing_date.lte` string - `transaction_code` string - `limit` integer - `sort` string ## Response `200` A list of results. - object - `next_url` string: If present, this value can be used to fetch the next page. - `request_id` string, required: A request id assigned by the server. - `results` object[], required: The results for this request. - `accession_number` string: Unique SEC accession number for the filing (e.g., '0001209191-25-012345'). - `aff_10b5_one` boolean: Whether the filing indicates a transaction made pursuant to a Rule 10b5-1 trading plan. Filing-level; null on filings before the checkbox was introduced (2023). - `date_of_original_submission` string, date: Date of the original filing submission for amendment filings (5/A). Null for standard filings (formatted as YYYY-MM-DD). - `deemed_execution_date` string, date: Deemed execution date if different from transaction date (formatted as YYYY-MM-DD). - `direct_or_indirect` string: Whether ownership is direct ('D') or indirect ('I'). - `equity_swap_involved` boolean: Whether an equity swap was involved in the transaction. - `exercise_date` string, date: Date exercisable for derivative securities (formatted as YYYY-MM-DD). - `exercise_price` number, double: Exercise or conversion price of derivative securities in USD. - `expiration_date` string, date: Expiration date for derivative securities (formatted as YYYY-MM-DD). - `filing_date` string, date: Date when the filing was submitted to the SEC (formatted as YYYY-MM-DD). - `filing_url` string: Direct URL to the filing on the SEC EDGAR website. - `footnotes` object[]: List of footnotes from the filing that are relevant to this row, each with an id and description. - `description` string - `id` string - `form3_holdings_reported` boolean: Whether the filing reports holdings that should have been reported on a Form 3. Filing-level, repeated on every row of the filing. Null if not stated. - `form4_transactions_reported` boolean: Whether the filing reports transactions that should have been reported on a Form 4. Filing-level, repeated on every row of the filing. Null if not stated. - `form_type` string: SEC form type ('5' for standard filing, '5/A' for amendments). - `is_director` boolean: Whether the reporting owner is a director of the issuer. - `is_officer` boolean: Whether the reporting owner is an officer of the issuer. - `is_other` boolean: Whether the reporting owner has another relationship with the issuer. - `is_ten_percent_owner` boolean: Whether the reporting owner holds 10% or more of a class of equity securities. - `issuer_cik` string: SEC Central Index Key of the issuer company (10 digits, zero-padded). - `issuer_name` string: Name of the issuer company as reported in the filing. - `nature_of_ownership` string: Nature of indirect ownership (e.g., 'By Trust', 'By Spouse'). - `not_subject_to_section_16` boolean: Whether the reporting owner is no longer subject to Section 16 of the Securities Exchange Act. - `officer_title` string: Title of the officer, if the reporting owner is an officer. - `owner_cik` string: SEC Central Index Key of the reporting owner (10 digits, zero-padded). - `owner_name` string: Name of the reporting owner (individual or entity). - `period_of_report` string, date: End of the fiscal year the filing covers (formatted as YYYY-MM-DD). - `record_type` string: Type of record in the filing ('transaction' or 'holding'). - `remarks` string: Additional remarks included in the filing. - `security_title` string: Title or description of the security (e.g., 'Common Stock', 'Stock Option'). - `security_type` string: Type of security ('non_derivative' or 'derivative'). - `shares_owned_following_transaction` number, double: Total shares beneficially owned after the transaction, or currently held for holdings. - `tickers` string[]: A list of ticker symbols for the issuer company. Multiple symbols may indicate different share classes. - `transaction_acquired_disposed` string: Whether shares were acquired ('A') or disposed of ('D'). - `transaction_code` string: SEC transaction code indicating the type of transaction (e.g., 'G' for gift, 'J' for other acquisition or disposition, 'A' for grant/award, 'S' for sale). Null for holdings. - `transaction_date` string, date: Date of the transaction, formatted as YYYY-MM-DD. Null for holdings. - `transaction_form_type` string: Form the transaction belongs to: '5' for a Form 5 transaction, or '4' for a Form 4 transaction reported late on this Form 5. Null for holdings. - `transaction_price_per_share` number, double: Price per share of the transaction in USD. - `transaction_shares` number, double: Number of shares involved in the transaction. - `transaction_timeliness` string: Timeliness of the transaction: 'E' (early), 'L' (late), or 'O' (on time, or not stated). Always 'O' for holdings. - `transaction_value` number, double: Total value of the transaction in USD (transaction_shares x transaction_price_per_share). Null when shares or price is not reported, and for holdings. - `underlying_security_shares` number, double: Number of underlying shares for derivative securities. - `underlying_security_title` string: Title of the underlying security for derivative securities. - `status` 'OK', required: The status of this request's response. ## Other responses - `400`: An error message. ## Changes - **2026-10-21** `67213d907d6b`: 1 info - endpoint added [Operation history](https://skmtc.dev/massive/apis/polygon-api/changes/stocks/filings/vX/form-5/get.md) --- [API](https://skmtc.dev/massive/apis/polygon-api.md) - [All operations](https://skmtc.dev/massive/apis/polygon-api/llms.txt) - [OpenAPI document](https://skmtc.dev/massive/apis/polygon-api/revisions/efa0c51f70d1?raw)