SEC Form D — Private Offerings & Reported Amount Sold

Local release candidate, version 0.2.0. Not deployed. Live SEC retrieval, cloud billing and real-source accuracy still require verification.

Track SEC EDGAR Form D filings and keep the proposed offering amount separate from the amount reported sold. A filing does not prove that a financing round has closed, or that the full offering amount has been raised. The filing date may be much later than the first sale.

Changes from the restored version

• Adds minAmountSold and firstSaleFrom; missing or invalid values cannot satisfy these filters.
• Preserves the existing meaning of minOfferingAmount / maxOfferingAmount as proposed offering size.
• Requires a name/company and genuine contact email in userAgent before SEC requests. Placeholder identities and control characters are rejected. Syntax checking cannot prove you own the address.
• Makes pooled-fund exclusion default to true in both schema and runtime. It only excludes the Pooled Investment Fund industry classification; it does not identify every SPV.
• Rejects non-Form-D/HTML error documents and non-finite numeric values.
• Scopes seen history to the saved-search label and semantic filters. Only successfully delivered records enter the seen list.
• Uses SDK 3.7.2 save-and-charge handling and checks the combined custom/synthetic event cost before output. Custom event count is distinguished from aggregated event count. Billing failures are no longer swallowed.
• Bounds retries; 401/403 do not retry, long Retry-After stops the run rather than retrying early. Serial delay is 200ms. Multiple concurrent instances must still respect SEC's per-user limit together.

Input

Provide your own contact identity; no invented example identity should be used for live requests. Relevant fields:

Field	Meaning
userAgent	Required name/company and genuine contact email
filedFrom, filedTo	Filing-date window in YYYY-MM-DD
daysBack	Default filing lookback, 0–365, default 3
minAmountSold	Minimum amount reported sold in USD
firstSaleFrom	Minimum reported first-sale date
minOfferingAmount, maxOfferingAmount	Proposed offering amount, not money raised
states, industryGroups	Normalized state codes and exact industry labels
includeAmendments	Default false
excludePooledFunds	Default true; classification-based only
maxItems	1–10,000, default 200
newSinceLastRun, stateKey	Optional delivered-record history

Local tests

Requires Node 22 or newer and npm. Installing dependencies downloads open-source packages but does not run an Actor in the cloud.

npm ci --ignore-scripts
npm test
npm run test:smoke

The smoke test uses the real SDK and a synthetic XML fixture with intercepted HTTP. It does not connect to SEC or charge a user. It creates .smoke-storage locally. Run it in a separate clean folder if you need a fresh history; running it again with the same history may skip the fixture, as designed. Do not run the smoke script in the cloud.

npm start is different: it starts the real Actor entrypoint and may fetch live SEC data when valid input is supplied. It was not used for live verification here.

Pricing and limits

The restored listing proposed $0.003 per result; the current cloud configuration was not inspected. Deployment requires PPE pricing with a registered result event. Synthetic events may also contribute to the total run price. There is no verified income or profit claim.

The summary reports search hits, scanned records, filtered records, delivered results, missing documents, and why the run stopped. Search results have a 10,000-hit window; use smaller date windows when searchLimitReached is true.

State migration and reliability limits

Version 2 uses the named store sec-form-d-state-v2 and a filter fingerprint. Version 1 state is not imported automatically: the first v2 run may deliver previously seen filings again. Filing-date windows, maxItems and contact identity are deliberately excluded from the fingerprint so rolling searches retain history. Change stateKey for an independent history.

Run a saved search with a single writer. Concurrent runs using the same fingerprint can race because the store does not provide an atomic deduplication transaction. Output saving, remote charging and state persistence are not a single atomic transaction: a platform failure between those actions can lead to a repeated result on retry. This candidate does not claim exactly-once billing or output.

State persistence on graceful abortion, real SEC access, live account pricing and multi-run concurrency have not been verified. Do not describe the release as production-validated until those checks are complete.

Primary references

• SEC Form D
• SEC developer and fair-access guidance
• Apify Actor SDK

Not affiliated with the SEC. All fixtures in test/fixtures are synthetic.