SEC 13D & 13G Beneficial Ownership Change Report

For investor-relations, corporate-development, legal-operations, and public-markets research teams, this Actor accepts issuer CIKs or official tickers, reads official SEC EDGAR Schedule 13D/13G filings, and returns source-linked beneficial-ownership change alerts, descriptive reports, and evidence exports.

It does not predict investor intent, classify activism, recommend trades, or provide investment advice. No API key or login is required; a descriptive SEC User-Agent is required.

Store Quickstart

1. Run once with initialRunMode: "baseline_only". The selected issuer observations are stored and the first run returns zero rows and zero charges.
2. Schedule the same monitor after a later Schedule 13D, 13D/A, 13G, or 13G/A filing. Only new, removed, amended, replaced, or changed observations produce alerts and report/export value events.
3. Use generateReport: true and emitExport: true for the report-first workflow. Keep emitRawRows: false unless individual filing observations are needed.

Run the next report

• Compare institutional portfolio disclosures with SEC 13F Institutional Holdings Change Report.
• Compare filing-level material disclosure candidates with SEC EDGAR Material Disclosure Watch.

Input Examples

1. Issuer CIK watch

{
  "watchlists": [{
    "id": "issuer-watch",
    "issuers": [{ "cik": "0000320193", "label": "Apple" }],
    "maxFilingsPerIssuer": 3,
    "maxAlertsPerIssuer": 20
  }],
  "userAgent": "your-company-ownership-watch/1.0 ops@yourcompany.com",
  "initialRunMode": "baseline_only",
  "generateReport": true,
  "emitExport": true
}

2. Ticker watch with an ownership threshold

{
  "watchlists": [{
    "id": "technology-issuers",
    "issuers": [{ "ticker": "MSFT", "label": "Microsoft" }],
    "minOwnershipPercent": 5,
    "maxFilingsPerIssuer": 4,
    "maxAlertsPerIssuer": 10
  }],
  "userAgent": "your-company-ownership-watch/1.0 https://example.com/sec-contact",
  "initialRunMode": "baseline_only",
  "generateReport": true
}

3. Small paid backfill

{
  "watchlists": [{
    "id": "focused-backfill",
    "issuers": [{ "cik": "0000320193" }],
    "cusips": ["037833100"],
    "maxFilingsPerIssuer": 2,
    "maxAlertsPerIssuer": 5
  }],
  "userAgent": "your-company-ownership-watch/1.0 ops@yourcompany.com",
  "initialRunMode": "emit_backfill",
  "generateReport": true,
  "emitRawRows": true,
  "emitExport": true,
  "maxChargeUsd": 50
}

Output Contract

The output uses four fixed row types:

• sec_13d_13g_filing_row: one optional compact reporting-person observation.
• sec_beneficial_ownership_change_alert: one new, removed, increased, decreased, amended, replaced, or changed observation.
• sec_ownership_change_report: one descriptive report across the selected issuer watchlists.
• sec_ownership_export: one compact JSON evidence export with source URLs.

Each observation includes the reporting person, issuer CIK/name, security title, CUSIP when present, aggregate shares, ownership percentage, voting/dispositive power, form, amendment flag, filing date, event date when present, accession number, and exact SEC source URL. Purpose text is retained as source-linked filing context only.

Pricing

Event	Price	Use
sec-13d-13g-filing-row	$0.006	Optional compact filing observation
sec-beneficial-ownership-change-alert	$0.35	New, removed, amended, replaced, or changed observation
sec-ownership-change-report	$15.00	Descriptive issuer ownership change report
sec-ownership-export	$10.00	JSON evidence export with filing links

Baseline-only runs and unchanged runs are free. A per-run maxChargeUsd cap fails closed before delivery. Keep the issuer list and cap small until the expected number of changed observations is understood.

Compliance Guardrails

• Only official SEC data.sec.gov/submissions JSON, SEC EDGAR archive filing documents, and the official SEC ticker index are used.
• No API key, login, browser session, private data, contact extraction, filing bypass, CAPTCHA handling, or non-official mirror is used.
• Keep the User-Agent descriptive, include a real production contact, use bounded issuers and request caps, and retain the default pacing.
• Schedule 13D/13G filings are public disclosures. They may be amended and do not establish intent, control, activism, performance, or future ownership.
• The output is descriptive evidence only. It is not investment advice, a buy/sell/hold signal, a valuation, a forecast, a risk score, or a guarantee.

State and Billing Safety

State is written only after all billable rows are delivered successfully. A state read/write failure stops the run. An unchanged run emits zero rows and zero charges. Unknown billing events, missing chargedCount, charge-cap violations, invalid SEC URLs, malformed filing documents, and missing reporting-person fields fail closed. The delivery audit is written locally as sec-13d-13g-delivery-audit.json and to the Apify key-value store as PHASE89_DELIVERY_AUDIT.

See Also

• SEC 13F Institutional Holdings Change Report for periodic institutional portfolio holdings changes.
• SEC EDGAR Material Disclosure Watch for filing-level disclosure metadata and reports.

Limitations

Schedule 13D/13G records are periodic or event-driven and may be amended. CUSIP/class identity, reporting-person names, ownership percentages, voting fields, and purpose text should be reviewed against the linked filing. The Actor does not infer performance, intent, control, activism, or future behavior.