SEC EDGAR Toolkit: Source-Linked Funding Leads & Filing Alerts

Find operating companies raising capital without treating every fund or SPV as a sales lead. Get SEC Form D offering details, only-new filing alerts, and Form 4 insider transactions with direct filing evidence. No API key, third-party data resale, browser or proxy required.

Three modes: formD for funding leads; filings for watchlist/8-K item/keyword alerts; insiderTrades for matching Form 4 transactions. Filter and export JSON, CSV or Excel, or connect the dataset to your own workflow.

Quick start (under a minute)

1. Run with {} to see three archived real SEC records from our 2026-10-27 source run. They are labelled _demo: true, are not current leads, and incur no custom billing events. No SEC requests are made by the demo.
2. For current data, choose filters and a small maxResults, and run. SEC headers use the operator contact by default; optionally set contactEmail to your own working address.
3. Open the dataset and the OUTPUT summary. Inspect source status and warnings before treating partial results as complete.

Live example:

{"mode":"formD","contactEmail":"ops@yourcompany.com","daysBack":3,"maxResults":5,"excludeFundsAndSpvs":true}

The illustrated contactEmail is an optional override: replace it with your own working address, or omit it to use the operator contact. Contact information is sent only in HTTPS SEC.gov request headers, including redirects; it is not printed in the listing, logs or results. Example-domain overrides are rejected.

Who it's for

• Sales & BD teams (banking, insurance, payroll, SaaS, recruiting, legal, accounting): companies that just raised money, with the executives' names, the same day it's filed.
• Investors & analysts: earnings (8-K 2.02), leadership changes (5.02), restatements (4.02), M&A (2.01), cyber incidents (1.05) for a watchlist, or any phrase in filing text.
• Insider-activity screens: open-market purchases (code P) above $X across the market or for your tickers.

Input examples

{ "mode": "formD", "contactEmail": "ops@yourcompany.com", "daysBack": 1, "industries": ["technology", "health_care"], "minAmountSold": 500000, "onlyIncorporatedWithinFiveYears": true, "monitor": true }

{ "mode": "filings", "contactEmail": "ops@yourcompany.com", "tickers": ["AAPL", "MSFT", "NVDA"], "itemCodes": ["2.02", "5.02"], "daysBack": 2, "monitor": true }

{ "mode": "insiderTrades", "contactEmail": "ops@yourcompany.com", "transactionCodes": ["P"], "minTransactionValue": 100000, "daysBack": 1 }

Output

Rows go to the default dataset (table views: Form D funding leads, Filing alerts, Insider trades); every row has recordType, accessionNumber, the filing index URL and the document/XML URL. The OUTPUT record in the key-value store holds the run summary: per-source status (ok / partial / failed with an error code), counts, rows dropped per filter, monitor stats, request stats and warnings.

Sample Form D row (abridged, real filing 2026-10-27):

{ "recordType": "form_d", "issuerName": "Creeda, Inc.", "formType": "D/A", "industryGroup": "Other Technology", "city": "New York", "stateOrCountry": "NY",
  "exemptions": ["Rule 506(b)"], "securityTypes": ["Simple Agreement for Future Equity (SAFE)"], "totalOfferingAmountUsd": 400000, "totalAmountSoldUsd": 175000,
  "percentSold": 43.8, "investorsCount": 3, "executives": ["Harrison Clarke Kirk", "Haojie Jia", "Sean Benjamin May"], "looksLikeFundOrSpv": false }

Monitor mode

monitor: true stores the accession numbers already processed in the named key-value store sec-edgar-toolkit-state (key derived from mode + filters, or your monitorKey). Later runs skip them, so a scheduled run (hourly/daily) plus an Apify integration (Slack, webhook, Zapier, Make) gives you alerts. Filings that failed to download are not remembered and are retried next time. If more filings match than maxResults, the rest are sent on the next run. Memory keeps 400 days.

Data sources & fair access

Source	Used for
www.sec.gov/files/company_tickers.json	ticker -> CIK
data.sec.gov/submissions/CIK##########.json	filings for your companies (recent ~1,000 filings / 1 year each), with acceptance time and 8-K items
efts.sec.gov/LATEST/search-index (EDGAR full-text search)	market-wide lists by form/date, keyword search, Form D listing
www.sec.gov/Archives/edgar/data/...	Form D primary_doc.xml and Form 4 XML

SEC asks automated clients to declare a User-Agent with a contact email and to stay under 10 requests/second. The operator SEC contact is supplied by default, with an optional contactEmail override; requests are paced at 5/s by default (maxRequestsPerSecond, max 8), and 429/503 responses are retried with backoff and Retry-After. A 403 from SEC is reported as FORBIDDEN with a hint (missing contact or rate abuse). EDGAR data is public; outreach to people named in filings must follow your local rules (CAN-SPAM, GDPR, TCPA).

Limits & caveats

• Full-text search covers 2001 onward and returns at most 10,000 documents per query; very wide market-wide windows are scanned newest first (a warning tells you when results were cut).
• Form D: the fund/SPV rule is a heuristic (industry group, pooled-fund security type, names like "Fund", "SPV", "a Series of"); check fundOrSpvReason. Real-estate project LLCs are operating issuers under SEC's categories; drop them with industries. "Indefinite" offering amounts are null and are dropped when you set an amount filter. Form D has no investor names and covers US exempt offerings only.
• Filing alerts by ticker use the submissions API's recent list; if a company has filed more than ~1,000 times inside your window, older ones are not included (warning shown).
• Insider trades: a filing's transactions are kept together, so a run can return a few more rows than maxResults. Prices given only in footnotes are null.

Pricing

Code event	Unit — only delivered matching results	USD per event
form-d-filing	One Form D operating-company funding lead	$0.06
filing	One filing-alert row	$0.00035
insider-filing	One distinct Form 4 accession with at least one matching transaction, regardless of transaction count	$0.0018

Worked examples: 1,000 Form D leads = $60; 1,000 filing rows = $0.35; 1,000 Form 4 filings = $1.80, even if those filings contain 11,000 transaction rows. A filing whose transactions all fail your filters costs no custom event. Duplicates, previously seen filings, empty matches and source errors have no custom event fee. Demo rows have no custom event fee.

The automatic apify-actor-start event costs $0.00005 per started GB (minimum one), including empty runs. Worked result examples exclude this start fee and any applicable platform usage, storage, integrations or taxes. No default dataset-row event is priced.

Set Apify's Maximum charge per run (maxTotalChargeUsd in run options, not input JSON). Before emitting a billable unit we check the active SDK event prices and remaining budget, including any dataset fee, then stop before an unaffordable unit. A Form 4 is kept atomic: no partial transaction output charged as a whole filing. Unsent accessions remain eligible on the next monitor run. Network work may occur before the output budget is reached; use maxResults too.

FAQ

Does a Form D prove a company raised the offered amount? No. Offered and sold amounts are distinct; totalAmountSoldUsd is the filed amount sold, not an independently verified funding round. Amendments and indefinite amounts are explicitly represented.

Are investor identities available? Form D reports investor counts, not a full investor roster. This is US exempt-offering evidence, not global funding-news coverage.

Will monitoring suppress missed items? Source failures are not marked seen. Budget-capped output is removed from the seen-state commit so it can be delivered on a later run within the date window. Do not run concurrent writers against the same monitor key.

Do you contact people or give investment advice? No. The Actor reads public SEC records only. You are responsible for permitted use and outreach rules; nothing is an investment recommendation.

Troubleshooting

Code / symptom	What to do
INVALID_INPUT	Check dates, tickers, CIKs and any contact override; leave the contact blank to use the operator SEC contact. {} is an archived demonstration, not live data.
FORBIDDEN	Verify the User-Agent contact, stop parallel clients, and retry later; this Actor does not bypass SEC blocking.
RATE_LIMITED, TIMEOUT, NETWORK_ERROR	The client retries transient failures and honors Retry-After within its wait budget. Narrow the date window or reduce request rate.
NOT_FOUND, PARSE_ERROR, BAD_RESPONSE	Inspect source status and the accession URL; the document may be missing or non-XML. Other documents continue.
BILLING_CAP_REACHED	Increase the run option cap or reduce output; no unaffordable unit is emitted.
BILLING_EVENT_NOT_CONFIGURED	Actor owner must configure exactly the documented event names, without a second dataset-row charge.
No matches	Check state/date window, fund exclusions and amount filters; an empty successful query is valid, not manufactured leads.

Explicit non-goals

No XBRL fundamentals, 13F holdings diffs, paywall bypass, investor roster or AI trading signals in this version. We do not claim better reliability than a rival based on a tiny demo.