Institutional holding object

Returned by POST /ownership/institutional-holdings/portfolio and POST /ownership/institutional-holdings/security (flat mode) as transactions[]. Security rows additionally carry manager_cik / manager_name. Three row kinds, told apart by type:

positions — a stock holding.
derivatives — an option holding (put_call says which side).
exited — a position closed out this quarter: identity plus the closing deltas only (d_shares, and d_value or d_notional_value_usd).

type, period

Row kind and calendar quarter end.

cusip, ticker, current_ticker, ticker_status, issuer, issuer_norm, class, security_type

Security identity. ticker is the symbol matched to the CUSIP, current_ticker the current one (null when none). issuer is the name as filed, issuer_norm the normalized name, class the share-class text as filed. ticker_status is us_listing, when_issued, non_us_listing, none (no matching listed ticker), or null. Exited rows have no ticker_status or security_type.

put_call

"Put" / "Call" on option rows; null on stock rows. When the row kinds are mixed it is one of the fields telling them apart.

shares_or_principal_amount

SH = the row's shares is a share count; PRN = a principal amount in USD (debt securities); null = a row cancelled by an amendment, or missing in the original filing.

shares

Share count or principal amount, per the previous field.

vote_sole, vote_shared, vote_none

Voting-authority split as filed.

discretion

Investment discretion as filed (SOLE, DFND, OTR and combinations).

source_accessions

The amendment filings this row's current values come from; null = the quarter's main filing.

activity

NEW / ADD / REDUCE / HOLD / CUSIP_CHANGE versus the prior quarter. Null when there is no prior filed quarter to compare against. Exited rows have no activity.

predecessor_cusip

On CUSIP_CHANGE rows: the CUSIP this security was held under in the prior quarter.

shares_before_cusip_change

Shares held under the predecessor CUSIP; present only when non-null, directly after predecessor_cusip.

d_pct

Share change versus the prior quarter, percent (d_shares is the absolute change).

unit_multiplier

Row-level unit-correction multiplier (can be fractional, e.g. 0.001); present when this row's filed value was individually corrected.

restated

added / modified / cancelled when an amendment changed this row; null otherwise. A cancelled row is a tombstone: its current-value fields are null and the old values sit in prior_versions.

prior_versions

Pre-amendment field values, newest first.

submgr_breakdown

Sub-manager split of the position: {submgr_index, submgr_name, shares, pct_of_position}.

filer_flags

Present only when the row is flagged: zero_shares_with_value (0 shares filed together with a value above 0), implied_price_outlier (value ÷ shares is at least 5× away from the security's closing price on the last trading day of the quarter). The filed values are returned as filed.

Stock rows additionally carry value (USD), weight (this holding's share of the quarter's total_positions_value — a percent string with two decimals, e.g. "61.88%"; null on cancelled rows), rank (1 = the quarter's largest stock holding), avg_price, and d_value. Option rows carry notional_value_usd, underlying_price_implied, and d_notional_value_usd.

Warnings (_warnings, present only when non-empty) on the portfolio / security endpoints flag:

an amendment whose claimed action type differs from its actual action (portfolio only — see the claimed_type and action fields in quarter.amendments_merged);
unit-correction multipliers in the returned result, whole-quarter or row-level — see the unit_multiplier fields;
CUSIP_CHANGE rows in the returned result — see each row's predecessor_cusip;
a quarter with no prior filed quarter in the returned result — activity, d_shares, d_value, d_pct and the quarter's est_turnover, portfolio_value_qoq_pct, activity_counts are null there;
flagged rows in the returned result — see each row's filer_flags;
cancelled rows in the returned result — see each row's restated.