SEC Guide

Table of Contents

• Table of Contents
• Setup
• CIKs
• Indexes: Quarterly, and Daily
  • Code
  • Usage
• Company Submissions
  • Data Retrieved
  • Code
  • Usage
• Filing Submissions and Forms
  • Common Forms
• Company Facts
  • Code
  • Usage
• SPACs
• Portals
• Reg-A and Reg-A+
• Reg-CF

Setup

To install dependencies, run:

bun install

Create a .env.local file in the root of the project and add the following:

SEC_RAW_DATA_FOLDER=<path-to-raw-data>
SEC_DB_FOLDER=<path-to-db-folder>
SEC_DB_NAME=edgar

CIKs

The CIK (Central Index Key) is a unique identifier assigned to companies and individuals by the SEC.

To facilitate data retrieval, maintaining a full list of CIK numbers and their associated names is beneficial. Even if only a subset of filings is required, having a reference list is useful. The SEC provides an official CIK lookup file.

You can retrieve and process this file using the following:

• Task: FetchAllCikNamesTask.ts
• Command: BootstrapAllCikNames.ts

./src/sec.ts bootstrap-all-cik-names

Once the CIK name list is ingested, you can look up a company's CIK by (partial) name:

./src/sec.ts query cik "apple"
./src/sec.ts query cik "APPLE INC." --exact

Results are ranked exact-match first, then prefix, then substring, with shorter names ahead of longer ones.

Indexes: Quarterly, and Daily

The SEC publishes txt index files listing all submitted filings. Each entry includes:

• Company Name
• CIK Number
• Filing Form Type
• Submission Date & Time

Code

• Task: FetchQuarterlyIndexRangeTask.ts
• Command: BootstrapCikLastUpdate.ts

Usage

We utilize these indexes to generate a "dirty" CIK list, indicating which filings need to be downloaded. While an optimized approach would selectively fetch only required filings, our method ensures data integrity by marking CIKs for processing. This helps recover missing files due to: process failures, skipped days, and other errors.

./src/sec.ts bootstrap-quarterly-index <year to start>

Company Submissions

The SEC provides an API to fetch company submission data, including metadata about a company's filings. However, it does not include the actual filing contents.

Data Retrieved

• Accession Number – Unique filing identifier
• Filing Date – Submission date
• Form – Filing type
• Filename – Associated document
• Description – Filing summary
• Document Type – Type of content submitted
• Size – File size (bytes)
• Items – Number of included items

Code

• Task: FetchSubmissionsTask.ts
• Command: CompanySubmissions.ts

Usage

./src/sec.ts company-submissions 1018724

Filing Submissions and Forms

The SEC API allows retrieval of individual filing submissions, containing the actual filing data. Each form type has unique processing requirements.

Common Forms

• Form D – Private capital fundraising
• Form 10 – Public capital fundraising
• Form 10-K – Annual financial report
• Form 10-Q – Quarterly financial report
• Form 8-K – Material event disclosures
• Form 6-K – Foreign company disclosures
• Form 4 – Insider trading disclosures

Company Facts

The SEC API provides Company Facts, delivering structured and normalized financial and operational data for a specific company.

Code

• Task: FetchCompanyFactsTask.ts
• Command: CompanyFacts.ts

Usage

./src/sec.ts company-facts 1018724

SPACs

Special Purpose Acquisition Companies (SPACs) are formed to raise capital from public investors with the intent to acquire a private company and take it public.

Portals

Reg-A and Reg-CF Portals facilitate investment in private companies by public investors through SEC-regulated platforms.

Accredited Investor Portals

Accredited-investor portals (AngelList, Forge Global, EquityZen, ...) offer private-market deals to accredited investors only. They do not register with the SEC as portals, so the table is curated: bootstrap it with sec accredited-portal import (seeded from src/data/accreditedPortalsSeed.ts), then curate known portal fingerprints — entity names, phone numbers, and addresses — with sec accredited-portal signal add. Form D filings from the SPVs/funds these portals administer are matched against those fingerprints, at ingest time and via sec accredited-portal attribute --all; see sec accredited-portal filings <portal-id>.

Reg-A and Reg-A+

Regulation A (Reg-A) and Regulation A+ (Reg-A+) filings enable private companies to raise funds from public investors via SEC-registered portals.

Reg-CF

Regulation Crowdfunding (Reg-CF) allows private companies to raise smaller amounts of capital from public investors compared to Reg-A or Reg-A+.