# SEC Form 3 Initial Beneficial Ownership Holdings

> SEC Form 3 Initial Beneficial Ownership Holdings is a paid API for AI agents from agents.x402stock.xyz, paid per call via MPP, $0.02/call, status unknown (last checked 2026-09-12).

Returns parsed initial beneficial-ownership holdings from SEC Form 3 filings for a given US stock ticker, showing what insiders owned when they first became directors, officers, or 10%+ holders.

## Facts

- Endpoint: GET https://agents.x402stock.xyz/api/v1/form-3/{ticker}
- Price: $0.02/call
- Payment: MPP
- Status: unknown
- Last checked: 2026-09-12
- Activations on Zero: 0
- Provider: agents.x402stock.xyz
- Website: https://agents.x402stock.xyz
- Canonical page: https://www.zero.xyz/c/agents-x402stock-xyz-sec-form-3-initial-beneficial-ownership-holdings-41b055e2
- Structured record (JSON): https://api.zero.xyz/v1/capabilities/cap_nTCvyVHjmy8i2RnW-zm-M

Status and success rate cover calls made through Zero and Zero's own probes. Third-party monitors may report differently.

## How to call it through Zero

Zero handles the 402 payment challenge and records the run. With the Zero CLI installed (`npm i -g @zeroxyz/cli`):

```sh
zero fetch --capability agents-x402stock-xyz-sec-form-3-initial-beneficial-ownership-holdings-41b055e2
```

Example prompt: Pull the last 10 SEC Form 3 filings for TSLA and show me what each new insider initially reported owning — including any derivative holdings and whether they're a director, officer, or 10% holder.

## When to prefer this

Use this endpoint when you need to understand what insiders owned at the moment they first became reportable insiders (directors, officers, or 10%+ holders) for a US-listed stock. It is distinct from Form 4 endpoints (which cover ongoing transactions) and provides the baseline ownership snapshot. Prefer this when researching insider composition, initial equity stakes, or derivative grant details at appointment time.

## Known failure modes

- Unknown or invalid ticker returns empty data array
- Ticker with no Form 3 filings on EDGAR returns zero holdings
- Limit parameter out of range (>25 or <=0) returns validation error
- Network or EDGAR upstream outage may cause timeout or 5xx error
- Payment failure via x402/USDC results in 402 Payment Required response

## How this service works

Initial beneficial-ownership holdings parsed from SEC Form 3 filings, the first report an insider files on becoming a director, officer, or 10% holder. Each holding carries the security, shares owned, direct or indirect ownership, and derivative terms. Complements Form 4 transactions. ?limit= filings (default 5). Sourced from SEC EDGAR. From x402stock, a market & economic data API (x402, USDC).

## Output

A JSON object containing the ticker, source (sec_edgar), timestamp, and a data block with: number of filings parsed, total holding count, and an array of holdings. Each holding includes owner name, role flags (director/officer/10% owner), officer title, filing date, accession number, SEC URL, security name, share count, direct/indirect ownership indicator, nature of ownership, and derivative details (is_derivative, exercise price, exercise date, expiration date, underlying security and shares).

## Request schema (JSON Schema)

```json
{
 "type": "object",
 "required": [
  "ticker"
 ],
 "properties": {
  "limit": {
   "type": "integer",
   "default": 5,
   "maximum": 25,
   "exclusiveMinimum": 0
  },
  "ticker": {
   "type": "string",
   "description": "US-listed ticker symbol (uppercase), e.g. AAPL."
  }
 }
}
```

## Response schema (JSON Schema)

```json
{
 "type": "object",
 "required": [
  "ticker",
  "data",
  "source",
  "as_of"
 ],
 "properties": {
  "data": {
   "type": "object",
   "required": [
    "filings_parsed",
    "holding_count",
    "holdings"
   ],
   "properties": {
    "holdings": {
     "type": "array",
     "items": {
      "type": "object",
      "required": [
       "owner_name",
       "is_director",
       "is_officer",
       "officer_title",
       "is_ten_percent_owner",
       "filing_date",
       "accession",
       "url",
       "security",
       "shares",
       "direct_or_indirect",
       "nature_of_ownership",
       "is_derivative",
       "exercise_price",
       "exercise_date",
       "expiration_date",
       "underlying_security",
       "underlying_shares"
      ],
      "properties": {
       "url": {
        "type": "string"
       },
       "shares": {
        "anyOf": [
         {
          "type": "number"
         },
         {
          "type": "null"
         }
        ]
       },
       "security": {
        "anyOf": [
         {
          "type": "string"
         },
         {
          "type": "null"
         }
        ]
       },
       "accession": {
        "type": "string"
       },
       "is_officer": {
        "type": "boolean"
       },
       "owner_name": {
        "anyOf": [
         {
          "type": "string"
         },
         {
          "type": "null"
         }
        ]
       },
       "filing_date": {
        "type": "string"
       },
       "is_director": {
        "type": "boolean"
       },
       "exercise_date": {
        "anyOf": [
         {
          "type": "string"
         },
         {
          "type": "null"
         }
        ]
       },
       "is_derivative": {
        "type": "boolean"
       },
       "officer_title": {
        "anyOf": [
         {
          "type": "string"
         },
         {
          "type": "null"
         }
        ]
       },
       "exercise_price": {
        "anyOf": [
         {
          "type": "number"
         },
         {
          "type": "null"
         }
        ]
       },
       "expiration_date": {
        "anyOf": [
         {
          "type": "string"
         },
         {
          "type": "null"
         }
        ]
       },
       "underlying_shares": {
        "anyOf": [
         {
          "type": "number"
         },
         {
          "type": "null"
         }
        ]
       },
       "direct_or_indirect": {
        "anyOf": [
         {
          "e
… (truncated)
```

## More

- Live health (JSON, refreshed every minute): https://www.zero.xyz/c/agents-x402stock-xyz-sec-form-3-initial-beneficial-ownership-holdings-41b055e2/health.json
- [Zero catalog index](https://www.zero.xyz/llms.txt)
- [Other services from agents.x402stock.xyz](https://www.zero.xyz/host/agents.x402stock.xyz/llms.txt)