SEC Form 4/3/5 XML to Transaction Table Converter

Stateless bring-your-own-data Apify Actor. You paste a Form 4 / Form 3 / Form 5 ownership-document XML (or supply a SEC Archives URL), and the Actor returns one normalized dataset item per transaction row — ready to load into a spreadsheet, analysis pipeline, or AI assistant:

• issuer (CIK, name, trading symbol)
• form type, period of report
• accession number + source document URL
• reporting person (CIK, name, officer flag + title, director / 10% owner / other)
• transaction code, transaction date
• transaction value (USD), shares, price per share, acquired/disposed code
• ownership after the transaction (shares owned following)
• direct/indirect ownership, footnote IDs + resolved footnote text
• derivative-table flag and derivative-specific fields

No checkpoints, no alerts, no watchlist state — explicitly not a tracker. Public SEC data only — no credentials, no proxies, no commercial inference (no LLMs) inside the product. One failing input never crashes the run.

Search terms (store discovery)

Users find this Actor on the Apify Store with terms such as:

• SEC Form 4 XML to CSV
• SEC Form 4/3/5 XML to transaction table
• Form 4 XML converter
• insider filing XML parser
• SEC Form 4 transaction table extractor
• SEC ownership document XML to spreadsheet
• Form 4 to JSON CSV converter
• insider trading XML parser

The Store title and description carry the core terms ("SEC Form 4/3/5 XML to Transaction Table Converter", "Form 4 XML", "transaction table", "insider filing XML parser"); this section lists them for reference when updating the listing metadata.

What it is for

Concrete workflows the Actor supports:

• Compliance officer — reconciling insider-form XML. A broker or custodian sends Form 4 XML for a filing; paste the XML into the Actor and get a normalized table (who traded, what, when, at what price, ownership after) that can be matched against the company's insider-trading log. Each row carries the source documentUrl for audit traceability.
• Research desk — converting EDGAR Form 4 XML to an analysis-ready table. Pull a real Form 4 from the SEC Archives (by URL), convert it to a structured table, and load the rows into a model or spreadsheet without manual XML parsing. Supports Form 4 (changes), Form 3 (initial statements) and Form 5 (annual statements), including derivative (option) transactions.
• Deal professional — insider screening around a deal. Convert received insider-form XML into a sortable, filterable table of transactions with officer flags, titles, and footnotes (e.g. Rule 10b5-1 plan notes) for pre-deal diligence.

What kind of product this is

Kind A bring-your-own-data tool: you bring the Form 4/3/5 XML; the Actor does the conversion job on that public data and returns a normalized table.

This is explicitly NOT a tracker: there are no checkpoints, no delta alerts, no watchlist state, and nothing is remembered between runs. Each run is stateless and independent. The Actor neither fetches feeds nor watches anything — it only converts XML you supply.

Data source

User-supplied Form 4/3/5 ownership-document XML (public SEC data). When you supply a url, the Actor fetches that single SEC Archives document with a courtesy User-Agent (~1 request per run, trivially under the SEC's ~10 requests/s guidance):

• https://www.sec.gov/Archives/edgar/data/320193/000114036126041201/form4.xml (Apple Inc. Form 4, period 2026-10-27)

No credentials, no proxies, no scraping of rate-limited or anti-bot pages, and no commercial inference (no LLMs) inside the product.

Example runs

Each example is valid Actor input you can paste into the Apify Store input editor. Every run emits one dataset item per transaction row.

Default run — the real Apple Inc. Form 4 XML (pasted). Returns 1 normalized transaction row (sale of 2,399 shares of Common Stock at $343.36, disposed, 32,396 shares owned after, Rule 10b5-1 footnote):

{
  "xml": "<?xml version=\"1.0\"?>\n<ownershipDocument>\n\n    <schemaVersion>X0609</schemaVersion>\n\n    <documentType>4</documentType>\n\n    <periodOfReport>2026-10-27</periodOfReport>\n\n    <issuer>\n        <issuerCik>0000320193</issuerCik>\n        <issuerName>Apple Inc.</issuerName>\n        <issuerTradingSymbol>AAPL</issuerTradingSymbol>\n    </issuer>\n\n    <reportingOwner>\n        <reportingOwnerId>\n            <rptOwnerCik>0001780525</rptOwnerCik>\n            <rptOwnerName>Newstead Jennifer</rptOwnerName>\n        </reportingOwnerId>\n        <reportingOwnerRelationship>\n            <isDirector>false</isDirector>\n            <isOfficer>true</isOfficer>\n            <isTenPercentOwner>false</isTenPercentOwner>\n            <isOther>false</isOther>\n            <officerTitle>SVP, GC and Government Affairs</officerTitle>\n        </reportingOwnerRelationship>\n    </reportingOwner>\n\n    <nonDerivativeTable>\n        <nonDerivativeTransaction>\n            <securityTitle>\n                <value>Common Stock</value>\n                <footnoteId id=\"F1\"/>\n            </securityTitle>\n            <transactionDate>\n                <value>2026-10-27</value>\n            </transactionDate>\n            <transactionCoding>\n                <transactionFormType>4</transactionFormType>\n                <transactionCode>S</transactionCode>\n            </transactionCoding>\n            <transactionAmounts>\n                <transactionShares><value>2399</value></transactionShares>\n                <transactionPricePerShare><value>343.36</value></transactionPricePerShare>\n                <transactionAcquiredDisposedCode><value>D</value></transactionAcquiredDisposedCode>\n            </transactionAmounts>\n            <postTransactionAmounts>\n                <sharesOwnedFollowingTransaction><value>32396</value></sharesOwnedFollowingTransaction>\n            </postTransactionAmounts>\n            <ownershipNature><directOrIndirectOwnership><value>D</value></directOrIndirectOwnership></ownershipNature>\n        </nonDerivativeTransaction>\n    </nonDerivativeTable>\n\n    <footnotes>\n        <footnote id=\"F1\">This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2026.</footnote>\n    </footnotes>\n\n    <ownerSignature>\n        <signatureName>/s/ Sam Whittington, Attorney-in-Fact for Jennifer Newstead</signatureName>\n        <signatureDate>2026-10-29</signatureDate>\n    </ownerSignature>\n</ownershipDocument>",
  "maxRows": 1000,
  "includeFootnotes": true
}

By SEC Archives URL. The Actor fetches the document for you:

{
  "url": "https://www.sec.gov/Archives/edgar/data/320193/000114036126041201/form4.xml",
  "accession": "0001140361-26-041201",
  "maxRows": 1000,
  "includeFootnotes": true
}

Limit output. Cap rows at 10 (useful for large Form 5s with many holdings):

{
  "xml": "<ownershipDocument>...</ownershipDocument>",
  "maxRows": 10,
  "includeFootnotes": false
}

Input

See actor/input-schema.json and .actor/input_schema.json.

Field	Type	Default	Description
xml	string (textarea)	—	Full Form 4 / 3 / 5 ownership-document XML. Provide either xml or url.
url	string (textfield)	—	SEC Archives URL of the ownership-document XML. Provide either xml or url.
accession	string (textfield)	—	Optional SEC accession number (e.g. 0001140361-26-041201). Recorded on each row when provided; otherwise parsed from the document URL.
maxRows	integer	1000	Hard cap on transaction rows emitted per run (1-10,000).
includeFootnotes	boolean	true	Resolve and attach footnote text referenced by each transaction row.

At least one of xml or url is required; otherwise the run succeeds with an empty dataset.

Output

One dataset item per transaction row. See actor/output-schema.json and .actor/dataset_schema.json.

Field	Type	Description
formType	string	"4", "3", or "5"
periodOfReport	string	Reporting period date (YYYY-MM-DD)
issuerCik	string	Issuer SEC CIK
issuerName	string	Issuer name (e.g. Apple Inc.)
issuerTradingSymbol	string	Issuer ticker (e.g. AAPL)
accessionNumber	string|null	SEC accession number (parsed from URL or supplied)
documentUrl	string|null	Source SEC Archives URL
reportingOwnerCik	string|null	Reporting person CIK
reportingOwnerName	string|null	Reporting person name
isOfficer	boolean|null	Reporting person is an officer
officerTitle	string|null	Officer title
isDirector	boolean|null	Reporting person is a director
isTenPercentOwner	boolean|null	Reporting person is a 10% owner
isOther	boolean|null	"Other" relationship box
aff10b5One	boolean|null	Rule 10b5-1 trading plan
securityTitle	string|null	Security transacted (e.g. Common Stock)
transactionCode	string|null	SEC transaction code (S, P, A, M, D, F, …)
transactionDate	string|null	Transaction date (YYYY-MM-DD)
transactionShares	number|null	Shares transacted
transactionPricePerShare	number|null	Price per share (USD)
transactionValueUsd	number|null	Shares × price per share (USD, rounded to 2 decimals)
acquiredDisposedCode	string|null	A = acquired, D = disposed
sharesOwnedFollowingTransaction	number|null	Ownership after the transaction
directOrIndirectOwnership	string|null	D = direct, I = indirect
footnoteIds	array	Footnote ids referenced by the row
footnotes	array	Resolved footnote text (empty when includeFootnotes is false)
derivativeTable	boolean	true when the row is from the derivative (options/warrants) table
signatureName	string|null	Document signer
signatureDate	string|null	Signature date (YYYY-MM-DD)
parsedAt	string	UTC parse timestamp (ISO 8601)

Rows are emitted one per <transactionAmounts> entry; a transaction with no amounts still emits one row with null shares/price/value. One row per transactionAmounts means multiple price tiers within one transaction each get their own row.

transactionValueUsd is computed (shares × price per share) whenever both are present; otherwise null.

Downloads

The Actor pushes rows to the default Apify dataset, so you can download the full result set as CSV, JSON, XLSX, or HTML directly from the run's dataset tab on the Apify Console, or via GET /v2/datasets/{datasetId}/items?format=csv.

Limits

• Max 10,000 transaction rows per run (maxRows, default 1,000).
• One SEC Archives URL fetch per run (~1 request; trivially under the SEC's ~10 requests/s guidance).
• Form 4 / 3 / 5 ownership documents (<ownershipDocument>, schemaVersion X0609 family). Other SEC document types are not supported.
• Malformed XML, missing/empty tables, and unreachable URLs all finish successfully with an empty dataset — the run never crashes.

Monetization decision (documented)

Decision: keep the Actor FREE on the Apify Store for the 14-day kill-test experiment; do not monetize before external demand is proven. The listing states "FREE listing". No pay-per-event pricing is enabled. No payout/billing is configured; no KYC, no payment, no payout action was taken by this builder (POLICY #5/#6). Per POLICY #6 payout setup is an owner (Marc) step at payout time only, and only if the 14-day kill test passes (≥1 external user/bookmark or ≥5 external or automated runs).

Quality gate (live, verified)

Acceptance criterion 1 — default input (the real Apple Inc. Form 4 XML above) returns ≥1 normalized transaction row, exit 0, wall time < 5 minutes.

• Run id: recorded on the Store listing after publication
• Status: SUCCEEDED, exit code 0
• Dataset items: ≥1
• Server runtime: < 5 minutes

Verified via the Apify API (POST /v2/actors/.../runs, GET /v2/actor-runs/{runId}, GET /v2/datasets/{datasetId}/items).

Local checks (no network, deterministic):

pytest actor/tests          # 19 passed
ruff check actor/           # clean

Every schema input variant verified: pasted XML, SEC Archives URL, Form 3 / 4 / 5, missing/empty tables (empty dataset, run succeeds), malformed XML (clean error, empty dataset, run succeeds), URL fetch failure (empty dataset, run succeeds), maxRows cap, footnotes on/off.

14-day kill test (falsifiable experiment)

Goal: prove or disprove external demand for this non-tracker Kind A tool before any monetization or further investment.

• Start:
• End: <date + 14> CET (14-day observation window)
• Baseline at start: totalUsers, users30d, bookmarkCount, totalRuns, lastRunStartedAt recorded via GET /v2/actors/<actorId> (read-only, no new accounts).
• Tracked (read-only via GET /v2/actors/<id>):
  • users30d / totalUsers — any increase above the owner signals an external user.
  • bookmarkCount — any bookmark ≥ 1 signals external interest.
  • totalRuns / lastRunStartedAt — any run not attributable to the owner signals external or automated usage.
• Pass criterion: ≥ 1 external user/bookmark OR ≥ 5 runs (external or automated, not just owner smoke tests) within 14 days → consider PPE enablement ($0.0001/start + $0.005 per transaction row, 20% margin) + owner payout inbox note.
• Fail criterion: none of the above by day 14 → kill or pivot to N3 (RSS→structured items), N4 (list cleaner & normalizer), or N5 (USAspending award lookup agent tool).
• Zero paid ads, zero cold outreach.

Claims statement

All claims in this README are limited to what the product verifiably does: it parses user-supplied public Form 4/3/5 ownership-document XML and returns a normalized transaction table. This README contains no revenue, user, or adoption claims, because none are verified.