SEC Filing Materiality Triage — 8-K, 10-Q & 10-K Review

Turn one recent public SEC filing into a bounded, source-cited analyst review decision.

This Apify Actor accepts an issuer CIK, selects the latest matching 8-K, 10-Q, or 10-K from the SEC’s public submissions data, reads that filing from the official SEC archive, and returns a structured triage record. The result helps an FP&A or research analyst decide whether to review the filing now, queue it for review, or retain it for monitoring.

What it does

• Selects one latest matching 8-K, 10-Q, or 10-K for a supplied CIK.
• Optionally restricts selection to one form, a list of supported forms, or an exact recent accession number.
• Rejects invalid selectors, unsupported forms, unknown input fields, and source identity mismatches instead of falling back silently.
• Applies deterministic, bounded phrase rules for events such as bankruptcy, default, restatement, executive disruption, major transactions, impairments, guidance changes, material cyber incidents, going-concern language, material weaknesses, government action, customer or contract changes, performance changes, and covenant or liquidity language.
• Highlights caller-supplied exposure keywords when they appear in the filing text.
• Returns a decision, materiality level, reason codes, confidence, quoted evidence, SEC source URL, filing identity, review guidance, and limitations.

Who it is for

• FP&A analysts screening filings that may affect forecasts, covenants, customers, suppliers, revenue, or guidance.
• Research analysts building a repeatable first-pass filing review queue.
• Finance-data workflows that need a structured, evidence-linked triage object before human analysis.

Common use cases

1. Route an 8-K with a bounded high-severity signal to immediate analyst review.
2. Queue a 10-Q containing medium signals or matched exposure keywords for the current analysis cycle.
3. Preserve low-signal filings in a watch record without claiming that they are immaterial.
4. Require an exact recent accession for a known issuer and fail visibly if it does not match.
5. Feed cited filing evidence and reason codes into a human-controlled diligence or forecast workflow.

Input

Required:

• cik — issuer CIK as 1–10 positive digits, with or without leading zeros.

Optional:

• forms — non-empty list containing 8-K, 10-Q, and/or 10-K. Omit to allow all three. Do not combine with form.
• form — one supported form. Do not combine with forms.
• accession — exact recent accession in 0000000000-00-000000 format. The Actor does not fall back to another filing when it is absent or mismatched.
• exposure_keywords — themes to highlight when the exact keyword text occurs in the filing.

Output

Each successful run emits one analyst triage object containing:

• filing identity: CIK, form, and accession number;
• decision: review_now, queue_review, or monitor;
• materiality_level: high, medium, undetermined, or low;
• reason codes and confidence;
• a bounded evidence quote and official SEC source URL;
• source and assessment timestamps;
• a human-review next step; and
• explicit limitations.

The Actor’s wrapper also emits internal run-event rows. Those rows are not filing decisions and do not represent paid demand or revenue.

Verification

Quinn independently issued PASS for the exact sealed candidate with manifest SHA-256 a04d9b0a4fec8dd086a1f6c118dc2fc8d75519aa06e124763f3c6aed53ec703b.

• Gate score: 100/100.
• Combined adversarial correctness: 46/48 (95.83%).
• Grand total: 97/99 (97.98%).
• Silent failures observed: 0.
• Official read-only SEC canaries: 2/2 passed.

Two independently authored meta-negation cases produced explicit queue_review abstentions rather than the expected review_now. They were disclosed, non-silent, and directed the user to human review.

Important limitations

This Actor is a deterministic first-pass triage tool. It is not investment, legal, accounting, compliance, or disclosure advice. A monitor or low result does not prove immateriality. Tables, exhibits, issuer-specific context, and complex negation may require human review. Confirm the evidence and full filing at the linked SEC source before acting.

The Actor handles one latest matching filing per run. It does not monitor a watchlist, send alerts, place trades, contact third parties, modify records, or retrieve unsupported forms.

Data source

The Actor reads public filing metadata from data.sec.gov and filing documents from the SEC EDGAR archive. It uses a contact-identifying user agent and a shared in-process request interval. SEC availability, rate limiting, document formats, or source changes can cause a run to fail visibly.

Related Actor

• Secretary of State Business Entity Filings — Continue your workflow with this related data source.