📈 SEC Form 11-K Employee Stock Plan Tracker — ESPP & 401(k) Stock Funds

The only Apify actor for SEC Form 11-K — annual employee stock plan financial reports. Pulls plan assets, employer-stock fund balances, share counts, and contribution flows from every Form 11-K filed in a given year, joined to ticker + CIK + PCAOB auditor.

Equivalent commercial data from Equilar starts at $5,000+ per year. This actor returns the same plan-level financials at PPE prices.

⚡ What you get

For every Form 11-K filing the actor returns:

Field	What it is
company	SEC filer name (issuer / plan sponsor)
cik	SEC CIK (numeric, unpadded)
ticker	Primary stock ticker
plan_name	Plan name as filed (e.g. "Acme Corp 401(k) Savings Plan")
plan_type	One of ESPP, 401(k), Stock Bonus, Unknown
fiscal_year_end	Plan fiscal-year end
total_plan_assets	Net assets available for benefits, USD
employer_stock_fund_balance	Employer-stock fund balance, USD
employer_stock_shares	Shares of employer stock held by the plan
share_value	Per-share / unit value, USD
contributions_employer	Employer contributions for the year, USD
contributions_participant	Participant contributions for the year, USD
filing_date	SEC receipt date
auditor_name	PCAOB-registered independent auditor
accession_number	SEC accession
source_url	Permanent URL to the primary 11-K document

🎯 Use cases

Equity-comp consultant (Aon, WTW, Pearl Meyer, FW Cook)

Pull every Form 11-K filed in 2024 by issuers with >$100M plan assets, group by plan type, and benchmark ESPP discount + 401(k) employer-stock allocation rates across S&P 1500 vs Russell 2000 vs micro-caps. Replaces ~$5K/yr Equilar subscription for the plan-detail tier of the dataset.

Executive compensation benchmarking analyst

Stack the employer-stock fund balance across peer-group filers to surface companies whose 401(k) employer-stock concentration violates ERISA fiduciary best practice (the 10% rule of thumb post-LaRue v. DeWolff). Direct input into proxy-advisory comp recommendations.

Corporate counsel / ERISA litigation counsel

Quarterly scan of newly-filed 11-Ks for plans with high employer-stock concentration + share-price declines — the leading-indicator pattern for stock-drop class-actions (Dudenhoeffer, Jander, Fifth Third). Filing-level source URL + accession lets paralegals jump straight to the audit opinion.

M&A / employee-benefits diligence

Pre-close diligence on a target's retirement plan — what's the participant contribution rate, what's the employer match, what's the auditor's opinion track record? Form 11-K is the only public disclosure that puts all three in one document.

🧪 Sample input

{
  "company_filter": "",
  "ticker_filter": "",
  "year": 2024,
  "min_plan_assets": 1000000,
  "max_filings": 50
}

📦 Sample output (one record)

{
  "company": "First Northwest Bancorp",
  "cik": "1556727",
  "ticker": "FNWB",
  "plan_name": "First Fed Bank 401(k) Plan",
  "plan_type": "401(k)",
  "fiscal_year_end": "2024-06-30",
  "total_plan_assets": 22487654,
  "employer_stock_fund_balance": 1142890,
  "employer_stock_shares": 178420,
  "share_value": 6.41,
  "contributions_employer": 612488,
  "contributions_participant": 1843775,
  "filing_date": "2024-12-23",
  "auditor_name": "Moss Adams LLP",
  "accession_number": "0001437749-24-038204",
  "source_url": "https://www.sec.gov/Archives/edgar/data/1556727/000143774924038204/fnwb20240630_11k.htm"
}

🚀 How to use

Python

from apify_client import ApifyClient

client = ApifyClient("YOUR_APIFY_TOKEN")
run = client.actor("nexgendata/sec-form-11-k-employee-stock-plan-tracker").call(
    run_input={
        "year": 2024,
        "min_plan_assets": 10_000_000,
        "max_filings": 100,
    }
)
for item in client.dataset(run["defaultDatasetId"]).iterate_items():
    print(item["company"], item["plan_type"], item["total_plan_assets"])

cURL

curl -X POST 'https://api.apify.com/v2/acts/nexgendata~sec-form-11-k-employee-stock-plan-tracker/run-sync-get-dataset-items?token=YOUR_APIFY_TOKEN' \
  -H 'Content-Type: application/json' \
  -d '{"year": 2024, "ticker_filter": "FNWB", "max_filings": 5}'

⚖️ Data source & politeness

• Source: SEC EDGAR Full-Text Search (efts.sec.gov/LATEST/search-index?forms=11-K) plus per-filing primary HTML at sec.gov/Archives/edgar/data/{cik}/{accession}/.
• Legal posture: Form 11-K filings are public statutory disclosures under §15(d) of the Exchange Act and ERISA §103. Fully public; SEC EDGAR explicitly invites programmatic access (10 req/sec rate limit) — see SEC EDGAR Fair Access.
• User-Agent: Every request sends NexGenData SEC Form 11-K Actor hello@thenextgennexus.com per SEC fair-access policy.
• Retry pattern: 3 attempts with 12-second backoff on EDGAR's occasional datacenter 5xx responses.

🧠 How extraction works

Form 11-K is HTML-heavy free-text — there's no standard XBRL tagging for plan-level financials the way 10-K has US-GAAP taxonomies. This actor uses a labeled-regex + nearest-numeric strategy:

1. Plan name — pulled from <title>, the "the 'Plan'" defined-term, or the first plan-keyword line on the cover page
2. Plan type — ESPP / 401(k) / Stock Bonus / Unknown — classified from the plan name first, document-head fallback
3. Total plan assets — labels include "net assets available for benefits", "total plan assets", "plan's net assets"
4. Employer stock fund balance — labels include "employer stock fund", "company stock fund", "common stock fund", "employer securities"
5. Employer stock shares — labels include "shares of company common stock", "shares of employer"
6. Share value — captures per-share NAV or unit value
7. Contributions — separates employer ("matching contributions", "company contributions") from participant ("employee contributions")
8. Auditor — captures the /s/ Firm Name LLP signature line, falls back to a Big-4 / mid-tier name list

Fields the extractor can't confidently fill come back as null rather than guessed. The filing-level source_url is always populated so analysts can verify and supplement by hand.

🔗 Related actors — SEC family

This actor is part of the NexGenData SEC EDGAR cluster:

• 📊 SEC Form 13F Holdings Tracker Pro — institutional fund holdings (quarterly)
• 👔 SEC Form 4 Insider Trading Scraper — officer + director buy / sell filings
• 📑 SEC Form D Scraper — Reg D private placement offerings
• ⚡ SEC Form 8-K Material Events Scraper — 4-business-day disclosure events
• ⚖️ SEC Litigation Releases — SEC Enforcement Division litigation press releases

🏷️ About NexGenData

NexGenData operates a fleet of 130+ Apify actors covering regulatory, financial, and compliance data sources across SEC, FINRA, FCA, BaFin, EUIPO, WIPO, MAS, SFC, NHTSA, CFPB, FDA, and more. Built for analysts, compliance officers, and AI agents who need clean public data without the enterprise SaaS markup.