SEC Form D Funding Signal Monitor

Monitor the SEC's official EDGAR feed and receive only new Form D private-offering notices that match your issuer keywords. Paid monitor results include the primary Form D XML fields needed for a first-pass funding-signal review.

This Actor is for developers, data teams, automation builders, investors, and sales-research workflows that need incremental SEC Form D signals without rebuilding monitoring, continuity, and deduplication logic.

What one signal contains

• issuer name, CIK, filing date, form type, accession number, and original SEC URLs
• industry group, issuer location, and entity type
• total offering amount, amount sold, and remaining amount
• date of first sale and investor count
• federal exemptions and security types
• related-person names and disclosed roles
• amendment flag
• matched keywords, review status, limitations, and missing evidence

Form D is a notice of an exempt securities offering and does not prove that a financing round has been completed, that the stated amount was raised, or that issuer-supplied information was independently verified. Review the original SEC filing before making investment, sales, legal, or compliance decisions.

Modes

preview

Returns at most three current matching Form D notices. Preview is free of the custom signal charge and does not expose diff state, delivery state, or monitoring history.

monitor

The first run creates a baseline. Later runs return only newly observed matching Form D notices. Schedule the same saved task to preserve the same keyword profile.

Example input

{
  "mode": "monitor",
  "keywords": ["artificial intelligence", "biotechnology"],
  "excludeKeywords": ["fund"],
  "includeAmendments": false,
  "maxSignalsPerRun": 5
}

Keywords are case-insensitive and match the issuer name and SEC feed summary. The Actor rejects non-Form-D entries even when the SEC type=D feed also contains forms whose names merely begin with the letter D.

Example signal

{
  "recordType": "form-d-signal",
  "signalKind": "EXEMPT_OFFERING_NOTICE",
  "issuerName": "Example Technology Inc.",
  "formType": "D",
  "accessionNumber": "0001234567-26-000001",
  "filedAt": "2026-08-27T01:02:03-04:00",
  "industryGroup": "Technology",
  "issuerLocation": {
    "city": "Austin",
    "stateOrCountry": "TX",
    "stateOrCountryDescription": "TEXAS",
    "jurisdictionOfIncorporation": "DELAWARE"
  },
  "entityType": "Corporation",
  "totalOfferingAmountUsd": 5000000,
  "totalAmountSoldUsd": 1250000,
  "remainingAmountUsd": 3750000,
  "dateOfFirstSale": "2026-08-01",
  "investorCount": 14,
  "federalExemptions": ["06b"],
  "securityTypes": ["Equity"],
  "amendment": false,
  "matchedKeywords": ["technology"],
  "recommendation": "REVIEW",
  "chargeEvent": "new-form-d-signal",
  "sourceUrl": "https://www.sec.gov/Archives/...-index.htm",
  "detailSourceUrl": "https://www.sec.gov/Archives/.../primary_doc.xml"
}

The example shows the normalized shape; values vary by filing and missing SEC fields remain null or empty.

Scheduling example

1. Run monitor once to create the baseline.
2. Save the input as an Apify task.
3. Schedule that task at a conservative interval such as every 30–60 minutes.
4. Consume the default Dataset or the Actor output links from the API, integration, or MCP client.

Do not run the same keyword profile continuously. The Actor has no retry loop and deliberately stays far below the SEC's fair-access ceiling.

Pricing

• apify-actor-start: $0.00005 per run
• new-form-d-signal: $0.01 per newly observed, matched, enriched signal
• apify-default-dataset-item: disabled

Baseline, no-match, gap, budget-limit, and diagnostic Dataset records do not trigger the custom signal event. The small start event covers baseline compute. Use Apify's maximum-cost-per-run control together with maxSignalsPerRun to cap spending.

Continuity and delivery safety

• Normal runs start with one official SEC feed request.
• Selected preview or paid results add sequential primary Form D XML requests.
• If the 40-entry feed window no longer overlaps the previous state, the Actor checks at most four additional 40-entry pages.
• If no overlap is found within 200 entries, it returns GAP_UNRECOVERED, charges no signal, and preserves the prior state.
• A per-monitor Request Queue prevents concurrent runs from processing the same accession simultaneously.
• Delivery state is persisted as DISCOVERED → CLAIMED → CHARGE_PENDING → CHARGED → DELIVERED, with an internal Dataset-staging state.
• A deterministic idempotency key is derived from monitorQueryHash + accessionNumber for the charge request.
• If a process stops after a charge was attempted but before durable confirmation, the Actor does not retry that charge. It records UNKNOWN_NOT_RETRIED to prefer a possible missed charge over double charging.

Source, attribution, and access policy

Source: U.S. Securities and Exchange Commission, EDGAR latest-filings Atom feed and primary Form D XML submissions.

This independent Actor is not an official SEC product and is not affiliated with, sponsored by, or endorsed by the U.S. Securities and Exchange Commission.

• fixed, contactable User-Agent
• proxy disabled
• no IP rotation
• no automatic retry on HTTP 403 or 429
• sequential requests with a conservative delay
• bounded recovery only when continuity is lost
• no external enrichment API, LLM, news source, CRM, email, or Slack integration

Known limitations

• The latest-filings feed is a rolling window, not a guaranteed complete historical database.
• Bounded recovery can still return GAP_UNRECOVERED; the Actor will not silently create a new baseline in that condition.
• Form D values are issuer supplied and can be amended.
• Related persons are limited to names and disclosed roles; addresses and contact details are intentionally omitted.
• A rare crash during the charge-confirmation boundary may produce a delivered signal whose final charge status is unknown. The Actor will not charge it again automatically.

MCP and automation

The Actor uses a structured input schema, structured Dataset records, limited permissions, and direct output links, so it can be invoked from Apify API clients, tasks, schedules, integrations, and MCP-compatible agent workflows. Human review remains required.

Store keywords: SEC, EDGAR, Form D, fundraising signal, private offering, private capital, funding monitor, investment research, sales intelligence.