SEC & Earnings Intelligence

Real-time SEC filing alerts, insider trading analysis, and earnings intelligence. Track 10-K, 10-Q, 8-K filings and Form 4 insider trades with AI-powered document analysis and alerts for material events.

Features

• SEC Filing Monitoring: Track all major SEC filings (10-K, 10-Q, 8-K, Form 4, 13F, etc.)
• Insider Trading Analysis: Monitor Form 4 insider buys and sells
• Material Event Alerts: Get notified of significant 8-K events
• Sentiment Analysis: Analyze tone and sentiment of filing text
• Risk Factor Extraction: Extract and track risk factors from annual reports
• Forward Guidance Tracking: Monitor company guidance changes
• Institutional Holdings: Track 13F institutional ownership changes

Use Cases

• Investment Research: Monitor filings for due diligence
• Trading Signals: Track insider buying/selling patterns
• Risk Monitoring: Get alerts on material events
• Competitive Intelligence: Track competitor SEC filings
• Compliance: Monitor regulatory filings

Input Configuration

Tracking

Field	Type	Default	Description
tickers	array	[]	Stock symbols to monitor
filing_types	array	["10-K", "10-Q", "8-K", "4"]	SEC form types to track
days_lookback	integer	30	Only fetch filings from last X days

Filing Types

Code	Name	Description
10-K	Annual Report	Full year financials, risk factors
10-Q	Quarterly Report	Quarterly financials
8-K	Current Report	Material events
4	Form 4	Insider trading
S-1	IPO Registration	New stock offerings
DEF 14A	Proxy Statement	Shareholder votes
13F	Holdings Report	Institutional holdings
SC 13G	Beneficial Ownership	Large passive investors
SC 13D	Activist Ownership	Activist investors

Insider Trading

Field	Type	Default	Description
include_insider_trades	boolean	true	Track Form 4 trades
insider_trade_min_value	integer	100000	Minimum trade value to include

Analysis

Field	Type	Default	Description
analyze_filings	boolean	true	Extract metrics from filings
extract_risk_factors	boolean	true	Extract risk factors
track_guidance	boolean	true	Track forward guidance
sentiment_analysis	boolean	true	Analyze document sentiment

Alerts

Field	Type	Default	Description
generate_alerts	boolean	true	Create alerts for significant events
alert_conditions	array	[]	Which conditions trigger alerts

Alert conditions:

• large_insider_buy: Large insider purchase
• large_insider_sell: Large insider sale
• 8k_material_event: Material 8-K event
• guidance_change: Forward guidance revision
• executive_departure: Officer/director departure
• acquisition: M&A announcement
• bankruptcy_warning: Going concern or bankruptcy

Output Format

SEC Filings

{
  "filing_id": "sec_320193_0001193125-24-001234",
  "type": "sec_filing",
  "ticker": "AAPL",
  "company_name": "Apple Inc",
  "cik": "320193",
  "form_type": "8-K",
  "filing_date": "2024-01-15T00:00:00Z",
  "filing_url": "https://sec.gov/...",
  "document_url": "https://sec.gov/Archives/...",
  "description": "Results of Operations and Financial Condition",
  "items_reported": ["2.02: Results of Operations"],
  "is_material": true,
  "sentiment_score": 0.25,
  "sentiment_label": "positive",
  "tone_analysis": {
    "positive": 2.5,
    "negative": 0.8,
    "uncertain": 1.2
  }
}

Insider Trades

{
  "trade_id": "form4_320193_0001234",
  "type": "insider_trade",
  "ticker": "AAPL",
  "company_name": "Apple Inc",
  "insider_name": "Tim Cook",
  "insider_title": "CEO",
  "relationship": "Officer",
  "transaction_date": "2024-01-10T00:00:00Z",
  "transaction_type": "Sale",
  "is_buy": false,
  "shares_traded": 50000,
  "price_per_share": 185.50,
  "total_value": 9275000,
  "shares_owned_after": 3500000
}

Alerts

{
  "alert_id": "abc123",
  "type": "alert",
  "alert_type": "8k_material_event",
  "severity": "high",
  "ticker": "AAPL",
  "company_name": "Apple Inc",
  "title": "Material 8-K Event: Apple Inc",
  "description": "8-K filed with items: 2.02: Results of Operations",
  "related_filing_url": "https://sec.gov/..."
}

Material 8-K Items

The actor flags these 8-K items as material events:

Item	Event Type
1.01	Entry into Material Agreement
1.02	Termination of Material Agreement
1.03	Bankruptcy or Receivership
2.01	Acquisition or Disposition of Assets
2.02	Results of Operations
2.05	Exit/Restructuring Costs
2.06	Material Impairments
4.01	Change in Accountant
4.02	Non-Reliance on Prior Financials
5.01	Change in Control
5.02	Director/Officer Departure

Example Inputs

Track Tech Giants

{
  "tickers": ["AAPL", "MSFT", "GOOGL", "AMZN", "META", "NVDA"],
  "filing_types": ["10-K", "10-Q", "8-K", "4"],
  "include_insider_trades": true,
  "generate_alerts": true,
  "days_lookback": 30
}

Monitor Insider Activity

{
  "tickers": ["TSLA", "NVDA"],
  "filing_types": ["4"],
  "include_insider_trades": true,
  "insider_trade_min_value": 500000,
  "alert_conditions": ["large_insider_buy", "large_insider_sell"]
}

Track Material Events

{
  "tickers": ["BA", "MMM"],
  "filing_types": ["8-K"],
  "analyze_filings": true,
  "generate_alerts": true,
  "alert_conditions": ["8k_material_event", "bankruptcy_warning"]
}

Data Sources

Source	Type	Cost
SEC EDGAR	API	Free
SEC Submissions API	API	Free

All data comes directly from the official SEC EDGAR database.

Tips for Best Results

1. Focus on key tickers: Monitor 10-20 stocks for best performance
2. Use alerts: Set up webhooks for real-time notifications
3. Track insider clusters: Multiple insiders trading = stronger signal
4. Monitor 8-Ks: Material events often precede price moves
5. Compare to history: Track sentiment trends over time

Cost Estimation

• Compute: ~$0.01-0.02 per ticker per run
• No API costs: Uses free SEC EDGAR API
• Storage: ~$0.0001 per filing

Limitations

• SEC API has rate limits (10 req/sec)
• Form 4 XML parsing is simplified (full parsing would require additional development)
• Historical data limited by SEC API
• Real-time filings may have slight delay

Support

• SEC EDGAR
• SEC Developer Resources
• Apify Documentation