# SEC EDGAR Filings Monitor — 8-K, Form 4, 13D Alerts, No Login (`chimerical_quicklime/sec-filings-monitor`) Actor

Watch companies (tickers or CIKs) or full-text keywords on SEC EDGAR and get only NEW filings since the last run: 8-K items, Form 4 insider trades with shares and price, 13D/13G, 10-K/Q, S-1. Hourly schedule. No login or API key. MCP-ready. $20 per 1,000 alerts.

- **URL**: https://apify.com/chimerical\_quicklime/sec-filings-monitor.md
- **Developed by:** [Khrystyna Skotte](https://apify.com/chimerical_quicklime) (community)
- **Categories:** Lead generation, Automation, Developer tools
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $20.00 / 1,000 filing alerts

This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events.

Learn more: https://docs.apify.com/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

An Actor is a serverless cloud program that runs on the Apify platform. It has two run modes.
In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours,
and optionally produces a well-defined JSON output, datasets with results, or files in key-value store.
In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server.

Apify vocabulary and the platform model are defined once, in the agent quickstart at https://apify.com/agents.md.

## How to integrate an Actor?

If asked about integration, you help developers integrate Actors into their projects.
You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready.

Do not guess an integration path. Every one of them is in the agent quickstart at https://apify.com/agents.md: the Apify MCP server, Agent Skills with the Apify CLI, the JavaScript and Python clients, the REST API, and the account-free path for an agent with no human to sign in. It also carries the rule on stating cost before the first paid run.

For examples already wired to this Actor's own input schema, see the [API](#api) section below.

Each client library has reference documentation the quickstart does not restate: [JavaScript/TypeScript](https://docs.apify.com/api/client/js/docs.md) (`npm install apify-client`) and [Python](https://docs.apify.com/api/client/python/docs.md) (`pip install apify-client`).

# README

## SEC EDGAR Filings Monitor — 8-K, Form 4, 13D/G Alerts

Schedule this actor and get **only the new SEC filings** for the companies and form types you care about. Every run remembers what it has already reported, so a scheduled monitor emits each filing exactly once: new 8-K events with their item codes, Form 4 insider trades with shares and price, 13D/13G activist stakes, 10-K/10-Q reports, S-1 registrations, 13F holdings reports. Optional full-text keyword search finds matching filings across **every** SEC filer, and a webhook delivers each run's alerts to Slack, Zapier, Make or your own API.

No API key, no login. Data comes straight from the SEC's public EDGAR APIs.

### Use cases

- **Portfolio alerts** — watch your tickers for 8-K events (earnings, executive departures, material agreements, cybersecurity incidents) within an hour of filing.
- **Insider trading signals** — get every Form 4 for watched companies with insider name, title, transaction code (P = open-market purchase, S = sale, A = award, M = option exercise), shares, price and shares owned after.
- **Activist and takeover monitoring** — 13D and 13G filings show who just crossed 5% ownership of a watched company.
- **Compliance and legal** — full-text keywords like `"going concern"`, `"material weakness"`, `"cybersecurity incident"`, `"restatement"`, `"SEC investigation"` across all filers, restricted to the forms you choose.
- **Deal flow and IPO tracking** — S-1, 424B and 13F filings by any company or keyword.
- **AI agents** — MCP-ready; ask an agent "what did my watchlist file this week?" and it gets structured JSON.

### Input

| Field | Default | Description |
|-------|---------|-------------|
| `companies` | `["AAPL","TSLA"]` | Tickers or CIK numbers to watch. Clear it to monitor by keyword only. |
| `formTypes` | `["8-K","4","13D","13G"]` | Forms to alert on. Amendments (`/A`) are included with their base form. Empty = every form. |
| `keywords` | `[]` | Exact phrases searched across all filers with EDGAR full-text search, restricted to `formTypes`. Each keyword is a separate search. |
| `filedSinceDays` | `7` | Lookback window. 2–7 days gives a safe overlap for hourly or daily schedules. |
| `maxNewPerCompany` | `5` | Cap per company per run, so a heavy filer cannot crowd out the rest. |
| `includeForm4Details` | `true` | Parse the Form 3/4/5 XML for insider and transaction fields. |
| `maxItems` | `10` | Overall cap on new filings emitted per run. Filings beyond a cap stay unseen and come out next run. |
| `firstRunMode` | `emitAll` | `emitAll` treats every filing in the window as new on the first run; `baseline` records them silently so only later filings are reported. |
| `webhookUrl` | | POST target for the run summary and the first 50 alerts. |
| `monitorId` | `default` | Name of this watchlist. Each ID keeps its own seen-state, so several monitors can run side by side. |
| `contactEmail` | `apify-actor@example.com` | Sent in the SEC `User-Agent` header. **Set your own email** (see fair-access rule below). |

Companies and keywords are both applied when both are set; companies are processed first.

#### Form types

Common values: `8-K` (current report), `10-K` (annual), `10-Q` (quarterly), `4` (insider transaction), `3` (initial insider holdings), `5` (annual insider report), `13D` (active >5% stake), `13G` (passive >5% stake), `13F` (institutional holdings), `S-1` (IPO registration), `424B` (prospectus), `DEF 14A` (proxy), `144` (intent to sell restricted stock), `SD`, `6-K`, `20-F`, `40-F`. Spellings like `SC 13G`, `SCHEDULE 13G/A` and `13F-HR` are all accepted and matched to the same base form.

#### 8-K item codes

Every 8-K row carries `items` with the code and its name, e.g. `1.05 Material Cybersecurity Incidents`, `2.02 Results of Operations and Financial Condition`, `5.02 Departure of Directors or Certain Officers`, `8.01 Other Events`, `9.01 Financial Statements and Exhibits`.

### Output

One record per new filing:

```json
{
  "accessionNumber": "0001140361-26-037584",
  "cik": "0000320193",
  "ticker": "AAPL",
  "companyName": "Apple Inc.",
  "formType": "4",
  "filingDate": "2026-09-24",
  "acceptedAt": "2026-09-24T22:30:07.000Z",
  "reportDate": "2026-09-22",
  "items": [],
  "primaryDocument": "xslF345X06/form4.xml",
  "filingUrl": "https://www.sec.gov/Archives/edgar/data/320193/000114036126037584/0001140361-26-037584-index.htm",
  "documentUrl": "https://www.sec.gov/Archives/edgar/data/320193/000114036126037584/xslF345X06/form4.xml",
  "description": "FORM 4",
  "insiderName": "Newstead Jennifer",
  "insiderTitle": "SVP, GC and Government Affairs",
  "transactionDate": "2026-09-22",
  "transactionCode": "S",
  "transactionShares": 2399,
  "transactionPrice": 340.06,
  "acquiredDisposed": "D",
  "sharesOwnedAfter": 44391,
  "transactionCount": 1,
  "matchedWatch": "AAPL",
  "changeType": "new",
  "firstSeenAt": "2026-09-28T21:46:06.575Z",
  "monitorId": "default"
}
```

The insider and transaction fields are `null` for non-ownership forms. For a Form 4 with several transactions the first non-derivative transaction is shown and `transactionCount` gives the total; open `documentUrl` for the full table. `matchedWatch` is the ticker/CIK or keyword that produced the alert.

Each run also writes a `SUMMARY` record to the run's key-value store: `{monitorId, runAt, newCount, baselined, scanned, seenTotal, since}`.

### Scheduling

1. Create a task with your `companies`, `formTypes` and optional `keywords`.
2. Run it once with `firstRunMode: "baseline"` if you only want filings from now on, or leave `emitAll` to get the current window as a first batch.
3. Schedule it **every hour during US market days** (EDGAR accepts filings 6:00–22:00 ET, Monday–Friday). Daily works too; keep `filedSinceDays` at least 2 so nothing slips through a missed run.
4. Use a different `monitorId` for each watchlist (e.g. `portfolio-8k`, `insider-sells`).

Seen-state lives in a named key-value store `sec-monitor-<hash of monitorId>` and keeps the most recent 50,000 accession numbers. Delete the `STATE` key in that store to reset a monitor.

### Webhook

When `webhookUrl` is set, one POST per run:

```json
{ "monitorId": "default", "runAt": "...", "newCount": 3, "scanned": 12, "since": "2026-09-21", "filings": [ ...first 50 records... ] }
```

### SEC fair-access rule

The SEC requires every automated EDGAR client to identify itself with a `User-Agent` of the form `<app name> <contact email>` and to stay under 10 requests per second. This actor throttles itself below that limit and sends `sec-filings-monitor <contactEmail>`. Please set `contactEmail` to an address you control so the SEC can reach you about your traffic; running with the placeholder email is your responsibility.

### Pricing

Pay per event: $0.005 per run start and $0.02 per filing alert emitted ($20 per 1,000). Runs that find nothing new cost only the start fee. Baseline runs emit nothing.

### Limits and notes

- Company mode reads each company's most recent 1,000 EDGAR submissions; for a heavy filer with `filedSinceDays: 365` older filings may fall outside that window.
- Full-text keyword search returns at most 1,000 document hits per keyword per run; narrow the window or forms if a phrase is very common.
- EDGAR full-text search is exact-phrase and covers filings from 2001 onward; `filedSinceDays` bounds the search dates.
- Form 4 details require one extra request per emitted ownership filing; turn `includeForm4Details` off for the cheapest runs.

# Actor input Schema

## `companies` (type: `array`):

Watchlist of ticker symbols (AAPL, BRK-B) or CIK numbers (320193). Each company's recent EDGAR submissions are checked for new filings of the selected form types. Companies are processed before keywords; clear this list to monitor by keyword only.

## `formTypes` (type: `array`):

Filing forms to alert on: 8-K, 10-K, 10-Q, 4 (insider trades), 3, 5, 13D, 13G, 13F, S-1, 424B, DEF 14A, 144, etc. Amendments (/A) are included with their base form. Empty = every form type.

## `keywords` (type: `array`):

Optional phrases searched across ALL filers with EDGAR full-text search (exact phrase match, e.g. "cybersecurity incident", "going concern", "material weakness"), restricted to the form types above. Each keyword is a separate search.

## `filedSinceDays` (type: `integer`):

Only consider filings filed within this many days. For an hourly or daily schedule 2-7 days gives a safe overlap; the seen-state prevents duplicates.

## `maxNewPerCompany` (type: `integer`):

Stop after this many new filings for one company per run, so a heavy filer cannot crowd out the others. Filings beyond the cap stay unseen and are emitted on the next run.

## `includeForm4Details` (type: `boolean`):

For emitted ownership filings, fetch the XML and fill insiderName, insiderTitle, transactionCode, transactionShares, transactionPrice and sharesOwnedAfter (one extra request per emitted Form 4).

## `maxItems` (type: `integer`):

Overall cap on new filings emitted per run, across all companies and keywords.

## `firstRunMode` (type: `string`):

What to do when the monitor has no saved state yet. emitAll: treat every filing in the window as new and emit it (good for a one-off pull or a first test). baseline: silently record every current filing as seen and emit nothing, so the next scheduled run reports only what was filed since.

## `webhookUrl` (type: `string`):

Optional. After each run a JSON summary {monitorId, runAt, newCount, filings\[first 50]} is POSTed here (Slack/Zapier/Make/your API).

## `monitorId` (type: `string`):

Name of this watchlist. Each monitor ID keeps its own seen-state in a key-value store named sec-monitor-<hash>, so you can run several profiles (e.g. "portfolio-8k", "insider-sells") side by side.

## `contactEmail` (type: `string`):

The SEC requires every EDGAR request to identify the requester in the User-Agent header. Set your own email so the SEC can reach you about your traffic instead of the default placeholder.

## Actor input object example

```json
{
  "companies": [
    "AAPL",
    "TSLA"
  ],
  "formTypes": [
    "8-K",
    "4",
    "13D",
    "13G"
  ],
  "keywords": [],
  "filedSinceDays": 30,
  "maxNewPerCompany": 5,
  "includeForm4Details": true,
  "maxItems": 10,
  "firstRunMode": "emitAll",
  "webhookUrl": "",
  "monitorId": "default",
  "contactEmail": "apify-actor@example.com"
}
```

# Actor output Schema

## `records` (type: `string`):

Dataset of new SEC filings found in this run (JSON).

# API

You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup.

## JavaScript example

```javascript
import { ApifyClient } from 'apify-client';

// Initialize the ApifyClient with your Apify API token
// Replace the '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {
    "companies": [
        "AAPL",
        "TSLA"
    ],
    "formTypes": [
        "8-K",
        "4",
        "13D",
        "13G"
    ]
};

// Run the Actor and wait for it to finish
const run = await client.actor("chimerical_quicklime/sec-filings-monitor").call(input);

// Fetch and print Actor results from the run's dataset (if any)
console.log('Results from dataset');
console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`);
const { items } = await client.dataset(run.defaultDatasetId).listItems();
items.forEach((item) => {
    console.dir(item);
});

// 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs

```

## Python example

```python
from apify_client import ApifyClient

# Initialize the ApifyClient with your Apify API token
# Replace '<YOUR_API_TOKEN>' with your token.
client = ApifyClient("<YOUR_API_TOKEN>")

# Prepare the Actor input
run_input = {
    "companies": [
        "AAPL",
        "TSLA",
    ],
    "formTypes": [
        "8-K",
        "4",
        "13D",
        "13G",
    ],
}

# Run the Actor and wait for it to finish
run = client.actor("chimerical_quicklime/sec-filings-monitor").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).iterate_items():
    print(item)

# 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start

```

## CLI example

```bash
echo '{
  "companies": [
    "AAPL",
    "TSLA"
  ],
  "formTypes": [
    "8-K",
    "4",
    "13D",
    "13G"
  ]
}' |
apify call chimerical_quicklime/sec-filings-monitor --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,chimerical_quicklime/sec-filings-monitor"
        }
    }
}
```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/k2T6xOGcGt30iPqe2/builds/wqtRpFnwaeR56Vy14/openapi.json