13D/13G Stake Watch: Activist & 5% Ownership

Unofficial; not affiliated with or endorsed by the U.S. Securities and Exchange Commission. This Actor reads public Schedule 13D and 13G filings from the SEC's EDGAR archive (daily index files, each filing's folder listing and its structured XML) with a declared User-Agent at a polite request rate. Data only; not investment advice.

Who just took a 5% stake, and why. Anyone who acquires more than 5% of a US-listed company's voting shares must report it. Investors who may push for change (board seats, a sale, buybacks) file a Schedule 13D and must explain their plans in Item 4, "Purpose of Transaction"; passive investors and institutions file the shorter Schedule 13G. Changes are reported as amendments (13D/A, 13G/A). 13D/13G Stake Watch turns each new filing into one row per reporting person: company, ticker and CUSIP, holder name and CIK, type of holder, citizenship or place of organization, sole and shared voting and dispositive power, shares owned and percent of class, event date, for 13D the source of funds and the purpose text, for 13G the Rule 13d-1(b)/(c)/(d) designation, and a link to the filing. Run it on a schedule with Only new on and every run outputs just the stakes you have not seen, with the change in percent when the same holder files again on the same company.

By default you get the activist side: Schedule 13D and 13D/A. Add 13G and 13G/A for passive holders and institutions.

Who uses it

• Activist trackers and event-driven investors who want every new 13D and every change in an activist position, with the stated purpose, the morning after it is filed.
• Investor relations and corporate secretaries watching who is building a stake in their company or their peers.
• Journalists and researchers covering activism, proxy fights, takeovers and large holders.
• Data teams loading beneficial-ownership records into a warehouse, Sheets or a dashboard without parsing XML.

What you get

One row per reporting person, flat fields, CSV-friendly. A joint filing by a fund, its general partner and its manager gives three rows. Below is a real row from a test run (a Schedule 13D filed 2026-10-30 by seven joint reporting persons on Ives Ultra AI Opportunities Inc.; the first person's row):

{
  "accessionNumber": "0001104659-26-120721",
  "personIndex": 0,
  "formType": "SCHEDULE 13D",
  "isAmendment": false,
  "amendmentNo": null,
  "isActivist13D": true,
  "filedDate": "2026-10-30",
  "eventDate": "2026-10-31",
  "issuerName": "Ives Ultra AI Opportunities Inc.",
  "issuerCik": "2077345",
  "issuerTicker": "IVAI",
  "cusip": "90386L108",
  "securityClass": "Common Stock, par value $ 0.001 per share",
  "reportingPersonName": "YA II PN, Ltd.",
  "reportingPersonCik": "1463928",
  "reportingPersonType": "CO",
  "citizenshipOrPlace": "E9",
  "memberOfGroup": "a",
  "soleVotingPower": 0,
  "sharedVotingPower": 2500000,
  "soleDispositivePower": 0,
  "sharedDispositivePower": 2500000,
  "sharesOwned": 2500000,
  "percentOfClass": 9.4,
  "previousPercentOfClass": null,
  "percentChange": null,
  "rule13gDesignation": null,
  "sourceOfFunds": "WC",
  "sourceOfFundsDetail": "On September 2, 2026, in connection with the Issuer's anticipated initial public offering (the \"IPO\"), YA II entered into an Option Agreement ...",
  "purposeOfTransaction": "The Reporting Persons entered into the Option and expect to exercise the Option and acquire the securities reported herein for investment purposes, subject to the following: The Reporting Persons have engaged, and intend to continue to engage, in communications with the Issuer's Board of Directors (the \"Board\") and management team regarding opportunities to enhance stockholder value. ...",
  "purposeTruncated": false,
  "coverPageComment": "Rows 8, 10 and 11 Represents Shares issuable upon exercise of an option to purchase membership interests in Ultra AI Holdings LLC, ... Row 13 Based on 26,500,000 Shares outstanding as of October 1, 2026, as reported in the Issuer's Prospectus dated September 29, 2026.",
  "filerCount": 7,
  "previousAccessionNumber": null,
  "filingIndexUrl": "https://www.sec.gov/Archives/edgar/data/2077345/000110465926120721/",
  "xmlUrl": "https://www.sec.gov/Archives/edgar/data/2077345/000110465926120721/primary_doc.xml",
  "isNew": true,
  "fetchedAt": "2026-11-02T14:45:37.813Z",
  "source": "www.sec.gov Archives, Schedule 13D/13G structured XML (public filing data)"
}

(Long text fields are shortened here; the dataset holds them in full, the purpose up to 4,000 characters.)

Notes on the columns:

• percentOfClass and the share counts are the cover-page numbers for that reporting person. In joint filings the same shares are usually counted for every person in the control chain (fund, general partner, manager, principal), so do not add up the rows of one filing.
• isActivist13D is true for 13D and 13D/A. A 13D means the holder does not certify a passive intent; it does not by itself mean a campaign. Read purposeOfTransaction.
• purposeOfTransaction is Item 4 with whitespace collapsed, cut at 4,000 characters (purposeTruncated: true when cut). Amendments contain it only when Item 4 changed; otherwise it is null.
• sourceOfFunds (13D) holds the cover-page codes: WC working capital, PF personal funds, AF affiliate, BK bank, OO other, and so on. sourceOfFundsDetail is the Item 3 text (up to 1,000 characters).
• rule13gDesignation (13G) is Rule 13d-1(b) (banks, brokers, advisers, funds), Rule 13d-1(c) (other passive investors) or Rule 13d-1(d) (holders who were never required to file under 13d-1(b)/(c), e.g. pre-IPO holders).
• reportingPersonType codes: IA investment adviser, PN partnership, IN individual, CO corporation, HC parent holding company, BD broker-dealer, OO other...
• citizenshipOrPlace is the code as filed: US states (DE, NY...), X1 = United States, other EDGAR country codes (E9 = Cayman Islands, K7 = India...).
• reportingPersonCik comes from the 13D cover page. The 13G form has no CIK field, so for 13G the Actor matches the person's name against the filing's own index line and fills the CIK when it matches; otherwise null. Some 13D persons have no CIK either.
• previousPercentOfClass and percentChange are filled when this watch has already output an earlier filing by the same holder on the same company (it does not look up older filings).
• issuerTicker comes from the SEC's public company ticker file (main symbol); null for companies not listed there.
• accessionNumber + personIndex identify a row uniquely. Empty values are null, never empty strings.

A RUN_SUMMARY record in the run's key-value store has the counts: index days read and missing, 13D/13G filings in the index by type, filings skipped before download (by ticker, by filer name, already seen), filings downloaded, rows filtered out, errors, requests used and why the run stopped.

How to use it

1. Pick the forms. Keep 13D and 13D/A for activist stakes, or add 13G and 13G/A for passive holders and institutions.
2. Pick companies, investors, or the whole market. Enter Tickers (or Issuer CIKs) to watch who files on those companies, and/or Filer name contains to follow particular investors (Elliott, Starboard, Icahn...). Both are applied to the daily index before anything is downloaded, so watch runs are small and quick. Leave them empty for the whole market.
3. Set a threshold with Minimum percent of class if you only care about larger stakes.
4. Name the watch. watchName is the memory key; use one per saved search. The first run of a new watch returns everything that matches in the window (up to Max items); from then on, only rows not output before.
5. Schedule it. Add a daily schedule in Apify with daysBack 1. Each day's index file appears in the evening (US Eastern), so a morning run picks up the previous business day's filings.
6. Connect the output to Google Sheets, Slack, email, webhooks, Zapier, Make, n8n or your own API with Apify integrations. Quiet runs push nothing.

Example 1: Every new activist stake and change, market-wide

{
  "formTypes": ["SCHEDULE 13D", "SCHEDULE 13D/A"],
  "daysBack": 1,
  "watchName": "activists",
  "maxItems": 200,
  "maxFilingsScanned": 300
}

Example 2: Named activist funds, all four schedules

{
  "formTypes": ["SCHEDULE 13D", "SCHEDULE 13D/A", "SCHEDULE 13G", "SCHEDULE 13G/A"],
  "filerNameContains": ["Elliott", "Starboard", "Icahn", "Trian", "Pershing Square", "Jana Partners", "ValueAct", "Engine Capital", "Ancora"],
  "daysBack": 1,
  "watchName": "named-activists",
  "maxItems": 200
}

Example 3: Passive 5%+ holders of big tech

{
  "formTypes": ["SCHEDULE 13G", "SCHEDULE 13G/A"],
  "tickers": ["AAPL", "MSFT", "NVDA", "AMZN", "GOOGL", "META", "TSLA"],
  "minPercentOfClass": 5,
  "daysBack": 5,
  "watchName": "big-tech-holders",
  "maxItems": 200
}

Input reference

Field	Type	Default	What it does
formTypes	enum[]	13D, 13D/A	SCHEDULE 13D, SCHEDULE 13D/A, SCHEDULE 13G, SCHEDULE 13G/A. An empty list means all four.
tickers	string[]	[]	Subject-company symbols. Mapped to CIKs with the SEC's public company ticker file and applied to the daily index before any download.
issuerCiks	string[]	[]	Subject-company CIKs, for companies without a ticker. Combined with tickers.
filerNameContains	string[]	[]	Case-insensitive substrings of investor names. Checked on the index lines before download and on the reporting persons after parsing; a matching joint filing is kept whole.
minPercentOfClass	number 0–100	none	Keep rows reporting at least this percent of class. Rows without a percent are left out when set.
daysBack	int 1–10	1	Past business days of daily index files to read, plus today's index if already published.
onlyNew	bool	true	Output only rows this watch has not output before.
watchName	string	"default"	Memory key; stored in the named key-value store stake-watch-<name>.
maxItems	int 1–5000	200	Hard cap on rows per run; the rest is left for the next run.
maxFilingsScanned	int 1–5000	300	Hard cap on filings downloaded per run, so whole-market 13G runs stay short.
userAgentContact	string	none	Optional contact (your e-mail) for the User-Agent header sent to www.sec.gov. Sent only in that header; masked (e.g. j***@e***.com) in logs and RUN_SUMMARY.

Pricing

Pay per event. You pay for rows actually delivered, plus a small start fee.

Event	Price	When
Actor start	$0.005	Once per run, even when nothing is new
stake	$0.003	Per row in the dataset (one reporting person on one filing)

What a typical watch costs. The market-wide activist watch (13D + 13D/A) on our test day, 2026-10-30, produced 54 rows from 16 filings: 54 × $0.003 + $0.005 = $0.167 for the day. A watch on a handful of tickers or named funds usually outputs a few rows a week and costs $0.005 on quiet days, about $0.15 a month plus $0.003 per row. Joint filings produce one row per reporting person (often 2–7), which is why rows outnumber filings. Compute is included, there are no proxy charges, and the run stops itself before exceeding the spending limit you set on the run (Maximum cost per run in Apify). Filtered-out rows are never charged.

Data source and how the Actor behaves

Source: U.S. Securities and Exchange Commission, EDGAR Schedule 13D and 13G filings (public information). The SEC states that information presented on sec.gov is public information that may be copied or further distributed, and asks for appropriate citation of the SEC as the source.

Since December 2024 these schedules are filed as structured XML under the form types SCHEDULE 13D, SCHEDULE 13D/A, SCHEDULE 13G and SCHEDULE 13G/A. The Actor reads only those; the older text forms (SC 13D, SC 13G) and other schedules (SC 13E3, SC TO...) are ignored.

It reads only documented, machine-readable files: the daily form index (/Archives/edgar/daily-index/YYYY/QTRn/form.YYYYMMDD.idx, one request per business day), the company ticker file (/files/company_tickers.json, at most one request per run, to resolve your tickers and fill issuerTicker), and for each filing it needs, the filing folder's index.json and the primary_doc.xml it lists (two requests per filing). It does not crawl web pages, does not log in and does not use a browser. Requests carry a declared User-Agent (StakeWatch/0.1 ..., with your contact if you provide one) and accept gzip, are spaced at 5 per second (half the SEC's published ceiling of 10), time out after 30 s, and transient errors (429, 5xx, network) are retried at most 3 times with backoff. If the site's automated-traffic guard answers, the run stops cleanly, keeps the rows already pushed and tells you to wait before the next run.

A filing is listed in the daily index once per filer (under the subject company and under the filing person), so the Actor groups those lines by accession number and downloads each filing once. If one filing's XML does not look like a Schedule 13D/13G, that filing is skipped and counted in errors; the run continues and tries it again next time. If the daily index itself no longer matches the documented layout, the run fails with a clear message instead of emitting empty results.

Timing. Rows appear after the SEC publishes the filing in its daily index, in the evening (US Eastern) of the filing day. A 13D is due within 5 business days of crossing 5%; a 13G within 5 business days (13d-1(c)) or 45 days after the quarter (13d-1(b)). So a stake usually shows up in this Actor one business day after it is filed and several days after the event. This is not a live feed.

People named in filings. Holder names, CIKs and the other cover-page facts are what the filer reported publicly; the Actor outputs them as filed and nothing more. Contact and address blocks are not output.

Limitations

• Whole-market 13G runs. A business day has a few dozen 13D/13D-A filings but several hundred 13G/13G-A filings (343 on our test day), and far more in February when annual 13G amendments are due. Every filing must be downloaded to see its numbers, so maxFilingsScanned (default 300) caps the downloads per run. Filings beyond the cap are left for the next run, but a daily schedule with daysBack 1 moves on to the next day: for a complete whole-market 13G feed raise maxFilingsScanned to 1000 or more, or use tickers or filer names.
• filerNameContains matches names as filed. Funds often file under the manager's or the principal's name (DME Capital Management, LP for Greenlight, EINHORN DAVID), so add the variants you know.
• 13G cover pages carry no reporting-person CIK; reportingPersonCik is filled only when the name matches the filing's index line or the filing has a single person.
• Percentages are as filed. Filers compute them from the shares outstanding they cite; coverPageComment often says which figure was used.
• The daily index lists filings alphabetically by form type and filer. With a low maxItems or maxFilingsScanned the run stops part-way through a day; the next run continues where the watch left off, person by person.
• The first run of a new watchName reports everything in the window as new. That is expected; lower daysBack or maxItems if you prefer.
• The watch memory lives in a named key-value store in your account called stake-watch-<watchName>. Deleting it resets the watch, including previousPercentOfClass. Filings and holdings not seen for 180 days are forgotten automatically.
• Before today's index is published, www.sec.gov sometimes answers with an error or not at all instead of "not found"; the Actor treats that as "not published yet" for today's file only (after one retry) and reads the previous business days normally.

Integrations and automation

Works with every Apify integration: schedules, webhooks, Google Sheets, Slack, email, Zapier, Make, n8n, LangChain and the Apify API and MCP server. Because the output is already the delta, a "new dataset items" trigger maps one-to-one to "new stakes".

Typical pipelines:

• Slack alert on new activist stakes: daily at 8 am, 13D only; post issuerTicker, reportingPersonName, percentOfClass, the first 300 characters of purposeOfTransaction and filingIndexUrl.
• IR watch: your own ticker plus five peers, all four forms; append to a Google Sheet and sort by percentOfClass.
• Warehouse: load the dataset into BigQuery or Postgres keyed on accessionNumber + personIndex.

FAQ

Is this investment advice? No. The Actor delivers data as filed. A stake report says who owns what and what they say they intend; it says nothing on its own about future prices.

Is this data legal to use? Schedule 13D and 13G filings are public records published by the SEC, which states the information may be copied and further distributed with appropriate citation. The Actor uses only the SEC's documented archive files, identifies itself with a declared User-Agent and stays at half the published request-rate ceiling, as the SEC's fair-access policy asks. You remain responsible for how you use the data.

What is the difference between 13D and 13G? Both report ownership above 5%. 13G is the short form for holders who certify they have no intention of influencing control (institutions, index funds, passive investors). 13D is required otherwise and includes the purpose of the stake and the source of funds. A switch from 13G to 13D is often worth a look.

Why does one filing give several rows? Each reporting person on the cover pages is a row: a fund, its general partner, its investment manager and the individual who controls them often file together and each reports the same shares.

Why is a stake I read about missing? It may not have been filed yet, the day's index may not be published yet, it may be a form type you did not select, a legacy SC 13D text filing (pre-2025 style, not read), or your filters, maxItems or maxFilingsScanned left it out. Check RUN_SUMMARY for the counts.

Can I track several watchlists? Yes. Give each its own watchName; each keeps its own memory.

What happens to the e-mail I put in userAgentContact? It is sent only in the User-Agent header of requests to www.sec.gov, as the SEC asks of automated tools. Everywhere else (the run log, error messages, the status message and RUN_SUMMARY) it appears masked, for example j***@e***.com. It is not stored in the watch memory or the dataset.

Support

Open an issue on the Actor's Issues tab in Apify Console with your input and run ID. Feature requests welcome, especially new filters or output fields.