It'll download every quarterly index file since Now you have this master index file. It's not sorted but that's easy to do hint: Look into the sort command. Now that we have downloaded the index files it becomes easy, with a bit of command line scripting, to quickly filter by company and extract URLs to the filings we want with grep. In the following example we grep by CIK , store the output in an intermediate text file, which we re-open with cat and grep again by form K.
Use with caution: q does not use indexes so running queries against the master index will be very slow since it's rather large. Sorting the master index or narrowing the data to a smaller subset will make search faster.
Ultimately you want to load the master index file into a proper database that's able to handle the size. Aug 13, Feb 5, Nov 9, Oct 29, You will have the option to browse for the appropriate file and upload it. The restored file will then pre-populate with all of your previous information. Follow the same process described above to attach a power of attorney POA document and any additional documents such as cover letters, exhibits, or correspondence.
Attachments must conform to the file naming standards listed above and must have an extension of. To view the errors, click the value in the Errors field for the document that contains errors to view the errors.
A Document Validation window opens and lists the errors in the document. Correct any document errors using the tool that created the document. Create your passphrase by entering it in the Add Passphrase page shown above. A message will appear confirming that you wish to proceed with the submission. Only one applicant per Form ID is allowed. Invalid file name. This error message refers specifically to the file name, not the file path where the document is located that is sometimes visible in EDGAR when a filer uploads their document.
This error message is generated when the PDF contains unrecognizable text. Make sure the PDF document does not contain any active content embedded JavaScript , external references destinations, hyperlinks, etc. If you continue to receive the error, open the document in Adobe and complete the steps below to reformat the PDF as an image.
The name you have selected is a duplicate of an existing name. If your company name matches the CIK assigned to another entity, resubmit the Form ID with a memo at the top of the form declaring that your company is a new, unique entity that is not affiliated with the other company CIK.
Include a description such as the state of incorporation to distinguish your company. The Filer Technical Support team is available Monday through Friday, except federal holidays, a. On this page you may also:. On this page, you have another opportunity to edit the information for the requested issuing entities or to cancel the request. A screen will appear confirming your submission, including the accession number of that submission.
Refer to that accession number if contacting Filer Support regarding this submission. What happens next? If it is determined that any of the names of the issuing entities is not appropriate, the entire request may be rejected.
If this occurs, you must resubmit the entire request for all requested issuing entities. See Generate Access Codes instructions below. To do so, they must check the box on Form H that asks if the filing relates to a serial company.
Check the Serial? Please note that the Serial? If there are any co-registrants, enter the CIK, CCC, and file number information for those co-registrants at the bottom of the page.
Attach your H document and any other attachments, then transmit the submission. You should thereafter receive a notification at the email address on file in EDGAR when the submission has been accepted.
The confirmation screen provides the accession number of the submission. Create a passphrase and enter an email address where confirmation will be sent then click the Continue button. The document must be signed by an authorized individual of the company—for example, the CEO, CFO, partner, corporate secretary, officer, director, or treasurer—and notarized.
Referred to as the authenticating document, this signed and notarized document helps protect filers by ensuring that submissions on their behalf are authentic and legitimate.
Scan the signed, notarized authenticating document if necessary and save as a PDF file. You are now ready to generate access codes. Then click the Generate Access Codes button. When the request has been confirmed, an acknowledgment page will display the new set of EDGAR access codes.
The access codes will only be displayed once, so you must record them prior to exiting the acknowledgment page. Filer Support will not have access to these codes. When making a substantive filing to add new series and classes contracts , IDs can be obtained in the following manner:.
Each notification provides a summary of the changes. Investment company type changes —Filers can use the site to change their investment company type. Changes to an investment company type are not automatic.
A notice will be sent to the email on file when the review is complete. Status changes —Filers can use the site to change an operational status from active to inactive or merged. An ID can also have its status returned to active note that this is rare. The SEC. If you have any doubt or confusion over which form you should file, please consult your lawyer or federal securities law advisor. You may submit the PDF version of your filing as an unofficial document attachment to your assembled submission.
Your file submission size—including all attached documents—must not exceed MB for all form types except: If your document attachment is larger than the size limit, split the document into two or more documents.
The header tag element of your HTML document represents a container for introductory content. The tagging language is a powerful data representation method that enhances the method of displayed public information. If you are amending a previous filing, enter your CIK and CCC—as well as the accession number of the submission—to populate the existing data. Many EDGAR filings include attached documents that are labeled according to their content; these are known as exhibits.
You must accurately and clearly label all of your exhibits. If you have multiple exhibits of a certain type for example, three different Exhibits 99 , then you must name them sequentially as they should be considered for example, Exhibit If you choose to attach a document consisting of an organizational chart to your H filing, it must be uploaded as a readable PDF document with scanned images that have been parsed for character recognition to pass EDGAR validation.
Step-by-step instructions are available at Prepare, save, and attach an org chart. If you would like to print a form prior to submitting, click the print button in the form and choose a blank form or the current form with your form data.
Printing errors such as opening a blank form may be due to configuration issues. The form may also be printed after it has been submitted, reviewed, and disseminated on SEC. You can save a form in progress on your computer by using the save button. The form will be saved as an. Make sure you save this file with the same name and. As an EDGAR filer, you have provided the EDGAR system with certain information about yourself or your company, including the filer's current name, mailing address, email address, telephone number, and the person whom we may contact with questions about a filing.
If your information is not entered accurately, or kept current, the SEC staff may not be able to expeditiously communicate with you regarding the status of your filings. The contact for SEC account Information and billing invoices is used to process electronically fee payments and billings. If the address changes and is not updated, your account statements may be returned to the SEC as undeliverable.
In other words, if your filer attribute is Filing Agent, the Filer Information section will not be displayed. Click the Edit Company Information button at the bottom of the page. The Edit Company Information page will appear. If you do not complete all required fields, you will receive an error message upon submission.
When finished, click the Submit Changes button. The Company Information Edit Confirmation page will appear. Review the page to ensure it reflects your changes. To confirm the changes, click the Confirm Company Changes button at the bottom of the page.
EDGAR will indicate that the submission is in progress. As you navigate through the Submission and Company Information page, the information you retrieve is limited to your login CIK. Filers registered as broker-dealers can only use the above process to update their email address. Some of these form types have associated filing fees, such as filings registering new securities or debt. The account balance may include any offsets used to pay for fees, as well as possible refunds and deposits.
Additionally, filers can view their account activity statement for the previous 12 months, one month at a time. Its website contains extensive guidance including the following. Filer Support is available Monday through Friday except federal holidays , from a. ET at , option 1. Filers should be prepared to correct the following matters through corrective disclosure--in other words, by filing a correction or amendment to the incorrect filing, or, if applicable, withdrawing a duplicate filing:.
In rare and unusual situations, the staff will consider requests to correct filing errors. The email should include the accession number you received after you submitted the request to EDGAR, and a name and phone number for the person the SEC should contact regarding the request.
It can take several weeks to process form type or file number post-acceptance changes. If the correction does not appear within eight weeks, you may call the staff at , option 5, to follow-up.
It also must include enough detail to justify the extraordinary request. The email should include the accession number you received after you submitted the request to EDGAR and a name and phone number for the person the SEC should contact regarding the request. The SEC will not adjust the filing time time of day when a filing is made or acceptance time time of day when a filing is accepted of a filing. Please do not request an adjustment to the filing time or the acceptance time of a filing, as any such request will be denied.
The filing date, however, may be adjusted by the SEC, when appropriate under the facts and circumstances, to accommodate situations that are beyond the control of the filer, as discussed further below.
Submitted through EDGAR, the request must be made by the filer itself, not a third party such as a filing agent. The email should include. If you wish to apply for a continuing hardship exemption to make all or part of an electronic filing in paper, you must make a request indicating how you meet the criteria set forth in Rule of Regulation S-T, as described more fully below. SEC staff will then determine whether your request will be granted based on an analysis of filer burden or expense and whether an exemption is appropriate and consistent with the public interest.
Even if granted, under Rule d , the SEC may place a limit on the term of a continuing hardship exemption and require you to submit an electronic copy of the paper portion of the filing at a future date. Only filers—not third parties such as filing agents—may request a continuing hardship exemption. The request must be:. We also request that you provide, if possible, a description of the material for which the request is being made. If your request is limited to a single submission or part of a submission, please identify the relevant submission type and, if applicable, the part of the submission for which the request is made.
The email should include the accession number you received after you submitted the request to EDGAR and a name and phone number for the person the SEC may contact regarding the request. The SEC generally processes requests for continuing hardship exemptions within business days of receipt.
To do so, select Document at the left of the page; then click on Validate Document. Make sure the validation results indicate 0 errors. Please see Sections 5. For further reference. Both schedules include instructions for preparing the content of the Schedule 13D or 13G.
If you have questions about your eligibility to use either schedule, please consult Rules 13d-1 through 13d If you have interpretive questions related to your reporting obligation, please reach out to the Division of Corporation Finance. It uses filer-provided information to prepare an XML-formatted primary main document that can be verified and printed by the filer and then transmitted to EDGAR for processing.
When you create an online form, the preparation and transmission processes are combined in a single browser session. Since you cannot save your online submissions, you must transmit them immediately after their preparation. The Online Forms Management Website will guide you through the process. When you are certain that the data you have entered is correct, then use the Transmit Submission button to send in your submission.
There are companies that develop value-added software for the preparation and submission of EDGAR filings. Many times a subsection of the filing community will find this software desirable and the programs may include capabilities beyond those provided by EDGAR.
Some filers may also want to develop their own interface to larger computer systems that will deliver tagged form output ready for submission. Other filers may want to develop their own tagged files without the aid of computer programs or interfaces.
We call all of these types of submissions filer-constructed. To facilitate this type of filing content development, the SEC publishes technical specifications that allow companies to create software or format output compatible with the EDGAR system. The SEC does not provide support services for this type of development, but keeps the technical documentation up-to-date to coincide with EDGAR releases.
While we cannot always provide the amount of lead time that development firms would like to create or modify their software, we publish these technical specifications in a draft format thirty days prior to the actual upgrade.
Draft EDGAR technical specifications—posted before Commission approval of potential regulatory changes in a release—are provided as a service to our filing community to assist filers, agents, and software developers in preparing for potential changes the SEC staff anticipates. Since these are draft specifications, the SEC retains the right to change any part of the specification before the release is made final.
The changes outlined in the technical specifications will note the date that these changes, if related regulations are approved, are scheduled to take effect. The schedule is subject to change. The final versions of the technical specifications are made available on or shortly after the release date on the SEC. Most filers will not use the technical specifications. Only those companies with technical skill sets and understanding needed to produce software that creates submissions or filer-constructed documents should utilize these manuals.
Online filings are produced in XML format. The XML Technical Specification is comprised of a number of documents, each specifying the format for a specific submission type or a small group of related submission types.
The specification includes a description of all of the tags and the allowable content and format of the data elements. In this type of submission, the form type is made up of XML content. The technical specification reflects this aspect and describes all of the form content in a tagged structure.
The technical specification also includes the details on how to encode and attach additional document content such as cover letters and correspondence. After you prepare your filer-constructed submissions, you can submit them using the EDGAR website pages for transmitting filings. Directions on these websites guide you to select the file to be transmitted. To the right of the page, find the Submission Types field and select the desired submission type s.
August 11, at pm. Awesome Post! David says:. November 25, at pm. November 26, at pm. Is it possible to compile only 1 section of each report like example 7A? CL says:. November 27, at pm. Thank you for sharing this knowledge! November 10, at am. Thomas says:. December 20, at am. Excellent post! Thank you for sharing this information, it truly is invaluable. William L says:. January 5, at pm. Hi Kai, thank you very much for sharing these codes. Best William.
Kai Chen says:. Greg says:. January 18, at pm. March 3, at pm. Liyan says:. February 11, at pm. March 3, at am. Claire says:. March 9, at pm. Looks like the Q4 included in the Stata dataset. Can you provide more details? Eva says:. March 10, at pm. May 10, at pm. Dear Kai, First, thank you very much for your codes. Thank you very much for your work. May 19, at pm. Christian Ramos says:. May 11, at pm.
Thank you very much. Kind regards, Christian Ramos. May 14, at pm. May 15, at am. Dear Kai, Thank you for your reply. The script works perfectly fine!
Do you have any advice on how to compile this data into treatable excel file? Tiago Ferreira says:. July 14, at pm. Hello, Thank you so much for the post. I need to download also the 20f fillings, Any ideas of how to do that? July 20, at pm. Mostak Ahamed says:. August 2, at pm. August 8, at pm. Bei says:. Hi Kai, Thank you so much for sharing the code! September 18, at am. Rob says:. September 11, at pm. Kai, I cannot get the newline operator to work properly.
Paper copies of filing documents prior to may be available by filing a Freedom of Information Act request. EDGAR accepts new filer applications, new filings, and changes to filer data each business day, Monday through Friday, from a. Indexes incorporating the current business day's filings are updated nightly starting about p. Some filing submissions that begin after p. ET—or p. Filings are sometimes authorized by SEC staff for removal or correction for a variety of reasons at the filer's request including, but not limited to, the document was submitted for the wrong filer, the document was a duplicate of a previously filed document, the document in its current form was unreadable, or the document contained sensitive information.
Corrections processed during a given business day will be incorporated in the indexes built that evening. However, removals processed on subsequent business days will not be reflected in any previous daily, feed, or oldload index.
The full and quarterly index files are rebuilt weekly, early on Saturday mornings, so that any post-acceptance correction PAC deletes or updates are incorporated.
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