# SEC Filing Materiality Triage — 8-K, 10-Q & 10-K Review (`slate_spool/sec-filing-materiality-triage`) Actor

Turn one recent public SEC 8-K, 10-Q, or 10-K into a bounded, source-cited analyst review decision with deterministic reason codes, quoted evidence, filing identity, and a human-review next step.

Related Actor: [Entities](https://apify.com/slate_spool/secretary-of-state-business-entity-filings)

- **URL**: https://apify.com/slate\_spool/sec-filing-materiality-triage.md
- **Developed by:** [Wes Shields](https://apify.com/slate_spool) (community)
- **Categories:** Business, Automation, Open source
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $20.00 / 1,000 results

This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events.

Learn more: https://docs.apify.com/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

An Actor is a serverless cloud program that runs on the Apify platform. It has two run modes.
In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours,
and optionally produces a well-defined JSON output, datasets with results, or files in key-value store.
In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server.

Apify vocabulary and the platform model are defined once, in the agent quickstart at https://apify.com/agents.md.

## How to integrate an Actor?

If asked about integration, you help developers integrate Actors into their projects.
You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready.

Do not guess an integration path. Every one of them is in the agent quickstart at https://apify.com/agents.md: the Apify MCP server, Agent Skills with the Apify CLI, the JavaScript and Python clients, the REST API, and the account-free path for an agent with no human to sign in. It also carries the rule on stating cost before the first paid run.

For examples already wired to this Actor's own input schema, see the [API](#api) section below.

Each client library has reference documentation the quickstart does not restate: [JavaScript/TypeScript](https://docs.apify.com/api/client/js/docs.md) (`npm install apify-client`) and [Python](https://docs.apify.com/api/client/python/docs.md) (`pip install apify-client`).

# README

## 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](https://apify.com/slate_spool/secretary-of-state-business-entity-filings) — Continue your workflow with this related data source.

# Actor input Schema

## `cik` (type: `string`):

Issuer CIK, with or without leading zeros.

## `forms` (type: `array`):

Optional allowed forms; omit to use 8-K, 10-Q and 10-K. Do not combine with form.

## `exposure_keywords` (type: `array`):

Optional FP\&A themes to highlight, such as revenue, customer, covenant, or supplier.

## `form` (type: `string`):

Optional single form; do not combine with forms.

## `accession` (type: `string`):

Optional exact recent accession for this CIK, e.g. 0000320193-26-000020. No fallback when unmatched or CIK-mismatched.

## Actor input object example

```json
{
  "cik": "320193",
  "exposure_keywords": [
    "revenue",
    "guidance"
  ]
}
```

# Actor output Schema

## `results` (type: `string`):

All structured rows emitted by the run.

# API

You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup.

## JavaScript example

```javascript
import { ApifyClient } from 'apify-client';

// Initialize the ApifyClient with your Apify API token
// Replace the '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {};

// Run the Actor and wait for it to finish
const run = await client.actor("slate_spool/sec-filing-materiality-triage").call(input);

// Fetch and print Actor results from the run's dataset (if any)
console.log('Results from dataset');
console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`);
const { items } = await client.dataset(run.defaultDatasetId).listItems();
items.forEach((item) => {
    console.dir(item);
});

// 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs

```

## Python example

```python
from apify_client import ApifyClient

# Initialize the ApifyClient with your Apify API token
# Replace '<YOUR_API_TOKEN>' with your token.
client = ApifyClient("<YOUR_API_TOKEN>")

# Prepare the Actor input
run_input = {}

# Run the Actor and wait for it to finish
run = client.actor("slate_spool/sec-filing-materiality-triage").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).iterate_items():
    print(item)

# 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start

```

## CLI example

```bash
echo '{}' |
apify call slate_spool/sec-filing-materiality-triage --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,slate_spool/sec-filing-materiality-triage"
        }
    }
}
```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/wfdFmv2FxtuJlbnrA/builds/mhPRf5niGx9eGnNgz/openapi.json