SEC 13F Institutional Holdings Change Report

For institutional research, public-markets operations, and portfolio-monitoring teams, this Actor accepts a bounded list of manager CIKs or official tickers. It reads official SEC EDGAR submissions and 13F information-table XML, then returns source-linked holding changes, a descriptive portfolio report, and a compact evidence export.

The input is a manager watchlist with optional CUSIP, issuer-keyword, and minimum-value filters. The output is a periodic comparison of reported holdings between SEC 13F report periods. No API key or login is required, but a descriptive SEC User-Agent is required.

Store Quickstart

1. Run once with initialRunMode: "baseline_only". The current selected portfolio is stored and the first run returns zero rows and zero charges.
2. Schedule the same input after a later 13F filing. Only new, exited, or changed holdings produce alerts and the report/export value events.
3. Use generateReport: true and emitExport: true for the report-first workflow. Keep emitRawRows: false unless individual holding rows are needed.

This Actor reports what a public Form 13F information table says at a point in time. It does not reconstruct a real-time portfolio or evaluate an investment.

Run the next report

• Compare filing-level material disclosures with SEC EDGAR Material Disclosure Watch.
• Track source-linked beneficial ownership changes with SEC 13D & 13G Beneficial Ownership Change Report.
• Track public regulatory obligations with Regulatory Obligation Change Impact Report.

Input Examples

1. Manager CIK watch

{
  "watchlists": [{
    "id": "manager-watch",
    "managers": [{ "cik": "0001166559", "label": "Institutional manager" }],
    "maxHoldingsPerManager": 100,
    "maxAlertsPerManager": 25
  }],
  "userAgent": "your-company-13f-watch/1.0 ops@yourcompany.com",
  "initialRunMode": "baseline_only",
  "generateReport": true,
  "emitExport": true
}

2. Filtered portfolio watch

{
  "watchlists": [{
    "id": "healthcare-positions",
    "managers": [{ "cik": "0001166559" }],
    "issuerKeywords": ["health"],
    "minValueUsd": 5000000,
    "maxHoldingsPerManager": 50,
    "maxAlertsPerManager": 10
  }],
  "lookbackFilings": 2,
  "userAgent": "your-company-13f-watch/1.0 ops@yourcompany.com",
  "initialRunMode": "baseline_only"
}

3. First report backfill

{
  "watchlists": [{
    "id": "cusip-watch",
    "managers": [{ "cik": "0001166559" }, { "ticker": "EXAMPLE" }],
    "cusips": ["000000000"],
    "maxHoldingsPerManager": 25,
    "maxAlertsPerManager": 10
  }],
  "userAgent": "your-company-13f-watch/1.0 https://example.com/13f-contact",
  "initialRunMode": "emit_backfill",
  "generateReport": true,
  "emitRawRows": true,
  "emitExport": true,
  "maxChargeUsd": 40
}

Use a real manager CIK for production. The ticker example only demonstrates the schema and requires a matching official SEC ticker index entry.

Output Contract

The output uses four fixed row types:

• sec_13f_holding_row: watchId, manager, holding, and sourceUrl.
• sec_13f_holdings_change_alert: watchId, manager, changeType, holding, and sourceUrl.
• sec_13f_portfolio_change_report: watchIds, report, and sourceUrls/sourceUrl.
• sec_13f_export: holdingCount, holdings, and sourceUrls/sourceUrl.

The report and export are the primary deliverables. Each holding retains CUSIP, issuer, class, reported value, shares, discretion, voting fields, filing period, accession number, and the exact SEC XML source URL.

Pricing

Event	Price	Use
sec-13f-holding-row	$0.006	Optional compact holding detail
sec-13f-holdings-change-alert	$0.25	New, exited, increased, decreased, or changed position
sec-13f-portfolio-change-report	$12.00	Descriptive report across selected managers
sec-13f-export	$8.00	JSON evidence export with filing links

Baseline-only runs and unchanged runs are free. A per-run maxChargeUsd cap fails closed before delivery. A first emit_backfill run can produce many alerts, so keep the watchlist and cap small until the expected charge is understood.

Compliance Guardrails

• Only official SEC data.sec.gov/submissions JSON, SEC EDGAR archive index.json, official SEC filing XML, 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 managers and request caps, and retain the default pacing.
• A Form 13F is periodic public disclosure. It does not show short positions, every asset, current intraperiod activity, or investment intent.
• 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 XML, and missing information tables fail closed. The delivery audit is written locally as sec-13f-delivery-audit.json and to the Apify key-value store as PHASE89_DELIVERY_AUDIT.

See Also

• SEC EDGAR Material Disclosure Watch for filing-level disclosure candidate monitoring.
• SEC 13D & 13G Beneficial Ownership Change Report for issuer-level beneficial ownership changes.
• Regulatory Obligation Change Impact Report for source-linked regulatory change analysis.

Limitations

13F holdings are periodic and may be amended. CUSIP/class identity, manager names, reported value units, and voting fields should be reviewed against the linked filing. The Actor does not infer performance, intent, ownership economics, or future behavior.