Notable Ownership Alerts

Notable Ownership Alerts enable you to toggle Email Alerts for specific categories of ownership filings, so you can reduce the number of emails you receive for Ownership filings.

The categories you can toggle include Open Market Buying, Open Market Selling, ≥5% Holders Updates, and Other Ownership Filings. Instead of receiving email alerts for all Ownership filings, you can receive just the filings you need.

Notable Ownership Alerts Categories

Notable Ownership Alerts are separated in the following categories allowing you to customize which types of ownership filings you receive:

  • Open Market Buying / Selling: Represents transactions to buy or sell shares in the open market and excludes transactions executed on the basis of a predetermined buying/selling plan (i.e., a Rule 10b5-1 plan). Enabling email alerts for this category will ensure that you receive alerts for Form 4s associated with these types of transactions while filtering out the ones with Rule 10b5-1 buying and selling activity.

    • Under Rule 10b5-1, insiders who are able to access material nonpublic information can establish a plan that allows them to buy or sell shares at a predetermined time on a scheduled basis. Many corporate executives use 10b5-1 plans to ensure they can buy and sell shares while remaining an insider.
  • ≥5% Holders Updates: Institutions that accumulate ≥5% stakes are of particular interest because they represent institutions that have accumulated large stakes in the company. Investors who accumulate more than a 5% stake in a company must file either Schedule 13D or Schedule 13G forms, which are also known as beneficial ownership reports.

    • A 13D is filed when an investor acquires a ≥5% ownership stake in a company and intends to effect a significant change within the company.
    • A 13G is a condensed version of Schedule 13D filed by investors who accumulate a ≥5% stake in a company but plan to own those shares “passively” (i.e., they do not have an intention of influencing the company).
  • Other Ownership Filings: Includes all other ownership filings not included in one of the above categories. This includes all Form 4s that do not disclose Open Market Buying / Selling, Forms 3 and 5 for insiders, Form 11-Ks summarizing employee benefit plans, and several other forms.

Step-by-Step Instructions

Notable Ownership Alerts can be found on your Watched-Company Email Alerts page. Don't forget to Save your changes!


If you see a message such as the one below, then you will need to Set up Email Alerts first before customizing your email alerts.



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