DEFINITION of 'Form 3'

A document that must be filed with the Securities and Exchange Commission (SEC) by an insider affiliated with a public company's operation or by any investor owning 10% or more of the company's outstanding shares.


This document must be filed with the SEC no later than 10 days after an insider becomes affiliated with a company, and it must be filed for each company in which a person is an insider, regardless of whether or not the insider has an equity position in the company at that time.

  1. SEC Schedule 13E-3

    A schedule that must be filed with the Securities and Exchange ...
  2. Form 144

    A form that must be filed with the SEC when an executive officer, ...
  3. Form 4

    Form 4 is a document that must be filed with the Securities and ...
  4. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  5. 500 Investor Rule

    A SEC stipulation requiring a company that exceeds 500 individual ...
  6. Insider

    A director or senior officer of a company, as well as any person ...
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