SEC Form D Filing Change Monitor

See SEC Form D filings and material changes in one evidence-backed feed

Monitor public SEC Form D filings and D/A amendments in a bounded, provenance-rich feed so research, operations, and compliance teams can spot new filings and review tracked changes quickly. Try it in Apify Console with {"mode":"demo","maxResults":1}—no credentials or SEC request required—then switch to a bounded live refresh with your SEC User-Agent. Each event links the accession and cited filing for human review; this is a filing monitor—not an investment or lead-quality product.

Who uses it

• Private-markets and market-intelligence researchers triage new public offering notices and keep an issuer watchlist current.
• Corporate-development and diligence teams route new filings and amendment changes to a review queue with the accession and source filing attached.
• Compliance and operations teams maintain an auditable, narrow source feed for internal checks (the Actor does not provide compliance advice).
• Data teams load normalized events into a warehouse, spreadsheet, Slack/webhook flow, or another Apify-integrated destination.

Why this Actor

• Amendment and material-change monitoring. A newly observed D/A produces an AMENDED event. When tracked issuer/offering fields differ from the prior filing for the same CIK, it also produces MATERIAL_CHANGE with deterministic changedFields, before, and after evidence.
• Provenance you can inspect. Every event carries the SEC accession number plus sourceUrl, indexSourceUrl, source, retrieval time, and a row-level disclaimer.
• Privacy minimization by default. The parser emits issuer and offering facts needed for monitoring, but excludes signatures, individual names, phone numbers, email addresses, exact street addresses, EINs, and personal/contact enrichment.
• A bounded official source. Requests are limited to internally constructed https://www.sec.gov/Archives/... daily-index and filing-submission URLs. Lookback days, detail pages, output rows, retries, and timeouts are all capped; arbitrary URLs are never accepted.

Two-minute quick start

1. Run the safe offline demo

The default demo mode uses a synthetic bundled filing and makes no SEC or network request. In Apify Console, enter the following input and click Start:

{
  "mode": "demo",
  "maxResults": 1
}

For a local run from this repository:

cd sec-form-d-radar
npm ci
APIFY_LOCAL_STORAGE_DIR=/tmp/sec-form-d-demo npm start

You should see one FORM_D_EVENT with changeType: "NEW", synthetic issuer data, and a fixture:// provenance URL. Demo data is not a live filing.

2. Run a bounded live refresh

In the Apify Console, paste this input into a Task or Actor run. Replace the example User-Agent with your own application identity and administrative contact email before leaving demo mode:

{
  "mode": "recent",
  "lookbackBusinessDays": 5,
  "maxFilingsScanned": 100,
  "maxResults": 25,
  "maxRequestRetries": 3,
  "requestTimeoutSecs": 30,
  "secUserAgent": "Your application name admin@yourdomain.example"
}

To monitor specific issuers instead, use watchlist with at least one issuer name or ten-digit CIK. This example uses a public CIK; substitute the CIKs you need to review:

{
  "mode": "watchlist",
  "ciks": ["0000320193"],
  "amendmentsOnly": true,
  "maxFilingsScanned": 100,
  "maxResults": 25,
  "secUserAgent": "Your application name admin@yourdomain.example"
}

Live mode requires secUserAgent; requests use it with bounded timeouts and retries for network errors, timeouts, HTTP 408/429, and 5xx responses. The Actor does not embed a real person or company identity for you.

Pricing and platform costs

There is currently no Actor rental or per-result fee during this free market test. Runs still consume Apify platform compute and storage according to your plan; the offline demo is a small synthetic run and makes no external request. For a lower-cost live trial, start with one lookback day, 25 filing detail pages, and 25 results; live-run usage grows with the selected index days and filing details, within the documented hard caps. Store usage is not represented as revenue or customer validation.

Events and useful outputs

The dataset contains privacy-minimized FORM_D_EVENT rows and source-error ERROR rows.

Change type	Meaning
NEW	Newly observed D accession.
AMENDED	Newly observed D/A accession.
MATERIAL_CHANGE	Newly observed D/A with one or more tracked differences from the prior filing for that CIK.
ERROR	Index or filing refresh failed or was malformed; prior state is retained.

Event fields include issuer name and CIK, form type/date, accession number, issuer state, entity type, industry group, first-sale date, offering amount, amount sold/remaining, investor count, security types, and matchedReason when a selector matched. Material-change rows add changedFields, before, and after evidence. sourceUrl links to the cited filing; indexSourceUrl links to the daily index row. retrievedAt, source, and disclaimer travel with every row.

Example event shape:

{
  "recordType": "FORM_D_EVENT",
  "changeType": "MATERIAL_CHANGE",
  "issuerName": "Example Issuer, Inc.",
  "cik": "0001234567",
  "formType": "D/A",
  "filingDate": "2026-01-06",
  "accessionNumber": "0001234567-26-000002",
  "changedFields": ["offeringAmountUsd", "amountSoldUsd"],
  "before": { "offeringAmountUsd": 1000000, "amountSoldUsd": 250000 },
  "after": { "offeringAmountUsd": 1500000, "amountSoldUsd": 600000 },
  "sourceUrl": "https://www.sec.gov/Archives/edgar/data/1234567/0001234567-26-000002.txt"
}

Keep the same Apify Task and storage so FORM_D_BASELINE can compare runs. Use Apify schedules or the API for recurring refreshes, send the dataset to webhooks or integrations, export JSON/CSV, or connect it to your warehouse, Sheets, Slack, or internal review queue. Retain the accession and source URL when handing an event to another system.

Input reference

• mode: demo, recent, or watchlist (default demo). watchlist requires issuerNames or ciks.
• issuerNames / ciks: optional watch filters. Names are case-insensitive; CIKs are normalized to ten digits.
• states: optional issuer state or country-code filter, applied after filing-detail enrichment.
• minOfferingAmountUsd: optional minimum total offering amount in USD, applied after enrichment.
• amendmentsOnly: emit exact D/A filings only.
• maxResults: output cap, 1–1,000. The successfully refreshed baseline is still saved in full.
• maxFilingsScanned: detail-page cap, 1–1,000, separate from maxResults. A run reports collectionTruncated when older matched index rows remain outside this window.
• lookbackBusinessDays: number of recent official SEC daily indexes, 1–31.
• maxRequestRetries: transient retries, 0–5.
• requestTimeoutSecs: per-request timeout, 0.01–120 seconds.
• secUserAgent: required outside demo mode. Supply your application identity and an administrative contact email; use a real identity appropriate for your SEC requests.

Only exact D and D/A rows from the selected daily indexes are considered. Filing paths are validated before the Actor constructs an official archive URL. Permanent errors are not retried.

State, safety, and limitations

The baseline is scoped to the normalized mode, issuer/CIK/state selectors, amendment flag, minimum-offering filter, lookback window, and filing-scan bound. It is saved only after all selected index and filing-detail requests parse successfully.

• A failed or malformed refresh emits an ERROR, leaves the prior baseline untouched, and never infers absence, removal, closure, or cancellation.
• A bounded collection window is merged with the matching scoped baseline, so output and collection caps do not silently discard previously observed state.
• First successful runs report observed accessions as events and create the baseline. A newly observed D/A can therefore produce AMENDED; MATERIAL_CHANGE requires a prior same-CIK filing with a tracked difference.
• SEC records are issuer-submitted, as-filed data and may contain errors, delays, or later corrections. Inspect the original filing before consequential action.
• The Actor provides no SEC approval, proof that funding closed, investment-quality assessment, guaranteed lead intent, revenue claim, customer validation, or investment/legal/tax/compliance advice. It does not infer any of those facts from a filing.
• The independent Actor is not affiliated with or endorsed by the U.S. Securities and Exchange Commission.

For the complete field-level contract, see docs/output-record.md. This repository intentionally does not include deployment, publishing, credential, or Apify cloud-state instructions.

Local verification

npm ci
npm test

Tests use synthetic fixtures and dependency injection; they do not contact SEC services.