For a consolidated view of executives’ and directors’ reported stock ownership, start with the company’s latest definitive proxy statement (Form DEF 14A) on its SEC EDGAR company page. Find the beneficial-ownership table, then check its measurement date, definition, share class, and footnotes. To follow later reported changes, review the issuer’s Forms 3 and 4, including amendments.
Find the company’s proxy statement on EDGAR
- Open the issuer’s EDGAR company page. Search EDGAR by company name or ticker and verify that the issuer and relevant class of securities match the company you want. The company page lists filings and separates filing dates from reporting dates: SEC EDGAR search.
- Select the latest definitive proxy statement, Form DEF 14A. Confirm that it is the issuer’s proxy and note its meeting and filing context. The date the proxy was filed may differ from the date used for its ownership figures.
- Search within the proxy. Look for headings such as “Security Ownership of Certain Beneficial Owners and Management,” “Stock Ownership by Directors, Executive Officers and 5% Shareholders,” or simply “beneficial ownership.” Issuers may use different wording.
Read the ownership table before using its figures
Identify the measurement date and security class
Record the date stated above or in the notes to the table. Treat the figures as a snapshot on that date, not as real-time holdings. Also confirm which class of securities the table covers. For example, Oracle’s 2026 DEF 14A search result gives an ownership date of September 21, 2026, its annual-meeting record date; that date is specific to Oracle’s filing, not a standard date for all proxies.
Check what “beneficial ownership” includes
Beneficial ownership does not necessarily mean shares held outright in a brokerage or registered directly in the person’s name. The applicable rules can include voting or investment power, and an issuer’s table notes may also count specified options exercisable within a stated period or equity awards expected to vest or settle within that period. Read the issuer’s own definition and notes rather than assuming every company counts the same interests.
Understand the percentage denominator
Look for the stated number of shares outstanding and the method used to calculate each person’s percentage. An issuer may count shares underlying near-term options as beneficially owned for an individual’s calculation while excluding those unissued shares from the general outstanding-share denominator. CeriBell’s 2025 proxy, for example, reported its own table as of April 11, 2025, used 36,034,596 common shares outstanding for its percentage calculation, and explained its treatment of specified interests. Those issuer-specific terms should not be generalized to another company.
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Track ownership changes with Forms 3 and 4
For changes reported after the proxy’s snapshot date, return to the issuer’s EDGAR filing list and look for Forms 3 and 4, as well as amendments labeled 3/A or 4/A. The SEC describes Form 3 as the initial statement of beneficial ownership and Form 4 as a statement of changes. Form 4 instructions generally require filing before the end of the second business day after a transaction resulting in a change in beneficial ownership: SEC Form 4 and official instructions.
Keep the transaction date, reporting date, and filing date distinct. Use the transaction details to understand what changed; use the filing date to establish when the report reached the SEC. Check whether a later amendment corrected or replaced an earlier filing.
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Use the proxy’s late-filing disclosure as a cross-check
Many proxies include a Section 16(a) compliance discussion describing the issuer’s review of Forms 3, 4, and 5 and any known late reports. This can flag reporting exceptions, but it does not replace examining the individual ownership filings. For example, CeriBell’s 2026 proxy describes its reporting population and issuer-specific late-report exceptions for fiscal 2025.
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Before comparing two people—or comparing one person across filings—align the details that can change the meaning of the figures:
- Measurement date and security class.
- Direct holdings versus indirect or other beneficial ownership.
- Currently held or vested shares versus options and unvested awards counted under the issuer’s convention.
- The shares-outstanding denominator used for percentages.
- For reported changes: transaction date, filing date, transaction details or code, and whether the filing is amended.
These filings show reported ownership and transactions. They do not, by themselves, establish that a security is a good investment or that an executive’s trades predict future performance.
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