Package 'edgarWebR' reference manual

Title:	SEC Filings Access
Description:	A set of methods to access and parse live filing information from the U.S. Securities and Exchange Commission (SEC - <https://www.sec.gov/>) including company and fund filings along with all associated metadata.
Authors:	Micah J Waldstein [aut, cre]
Maintainer:	Micah J Waldstein <[email protected]>
License:	MIT + file LICENSE
Version:	1.1.0
Built:	2025-03-08 03:31:25 UTC
Source:	https://github.com/mwaldstein/edgarwebr

SEC CIK Search

Description

Provides access to the SEC CIK search tool from here

Usage

cik_search(company)
cik_search(company)

Arguments

company

Search term to search for CIK

Value

A dataframe with one row per company with Includes the following columns -

cik
company_href
company_name

Examples


try(cik_search("cloudera"))

try(cik_search("cloudera"))

SEC Company Details

Description

For a given company, either by ticker, CIK, or pre-fetched page, we extract 2 sets of information:

Company Information: Filing date, accepted date, etc.
Filings: Companies included in the filing

Usage

company_details(
  x,
  ownership = FALSE,
  type = "",
  before = "",
  count = 40,
  page = 1
)
company_details(
  x,
  ownership = FALSE,
  type = "",
  before = "",
  count = 40,
  page = 1
)

Arguments

`x`	either a stock ticker, CIK number, or XML document for a company page
`ownership`	boolean for inclusion of company change filings
`type`	Type of filing to fetch. NOTE: due to the way the SEC EDGAR system works, it is actually is a 'starts-with' search, so for instance specifying 'type = "10-K" will return "10-K/A" and "10-K405" filings as well. To ensure you only get the type you want, best practice would be to filter the results.
`before`	yyyymmdd format of latest filing to fetch
`count`	Number of filings to fetch per page. Valid options are 10, 20, 40, 80, or 100. Other values will result in the closest count.
`page`	Which page of results to return.

Value

A list with the following components

information: data.frame as returned by company_information
filings: data.frame as returned by company_filings

Examples


try(company_details("AAPL", before = "20170810"))

try(company_details("AAPL", before = "20170810"))

SEC Company Filings

Description

SEC Company Filings

Usage

company_filings(
  x,
  ownership = FALSE,
  type = "",
  before = "",
  count = 40,
  page = 1
)
company_filings(
  x,
  ownership = FALSE,
  type = "",
  before = "",
  count = 40,
  page = 1
)

Arguments

`x`	either a stock ticker, CIK number, or XML document for a company page
`ownership`	boolean for inclusion of company change filings
`type`	Type of filing to fetch. NOTE: due to the way the SEC EDGAR system works, it is actually is a 'starts-with' search, so for instance specifying 'type = "10-K" will return "10-K/A" and "10-K405" filings as well. To ensure you only get the type you want, best practice would be to filter the results.
`before`	yyyymmdd format of latest filing to fetch
`count`	Number of filings to fetch per page. Valid options are 10, 20, 40, 80, or 100. Other values will result in the closest count.
`page`	Which page of results to return.

Value

A dataframe of company filings

Examples


try(company_filings("AAPL", before = "20170810"))

try(company_filings("AAPL", before = "20170810"))

Company URL for a CIK

Description

Given a CIK, provide a link to the company information page.

Usage

company_href(cik, ownership = FALSE, atom = FALSE)
company_href(cik, ownership = FALSE, atom = FALSE)

Arguments

`cik`	Company code
`ownership`	(default: FALSE) boolean for inclusion of company change filings
`atom`	(default: FALSE) if the link should be to the atom XML feed

Value

A string with URL requested

Examples

company_href("0000037912")
company_href("0000037912")

SEC Company Info

Description

Fetches basic information on a given company from the SEC site

Usage

company_information(x)
company_information(x)

Arguments

`x`	Either a stock symbol (for the 10,000 largest companies) or CIK code

Value

a dataframe with all SEC company information

Examples


try(company_information("INTC"))

try(company_information("INTC"))

SEC Company Search

Description

Provides access to the SEC Company Name Search from here using a company's formal name rather than its common name.

Usage

company_search(
  x,
  match = "start",
  file_number = FALSE,
  state = "",
  country = "",
  sic = "",
  ownership = FALSE,
  type = "",
  count = 40,
  page = 1
)
company_search(
  x,
  match = "start",
  file_number = FALSE,
  state = "",
  country = "",
  sic = "",
  ownership = FALSE,
  type = "",
  count = 40,
  page = 1
)

Arguments

`x`	Name of company to search or file number
`match`	(default: 'start') Either 'start' or 'contains' for where in the company name to search
`file_number`	(default: FALSE) if set to TRUE, x is treated as a file number
`state`	(default: ”) Limit to a specific state of registration using 2-letter state abbreviations. Special values: X1 The United States A0 Alberta, Canada A1 British Columbia, Canada A2 Manitoba, Canada A3 New Brunswick, Canada A4 Newfoundland, Canada A5 Nova Scotia, Canada A6 Ontario, Canada A7 Prince Edward Island, Canada A8 Quebec, Canada A9 Saskatchewan, Canada B0 Yukon, Canada
`country`	2-character country code. The mapping is non-obvious, so unfortunately the best way to find it is to examine the company search page.
`sic`	SIC Code
`ownership`	boolean for inclusion of company change filings
`type`	Limit to companies with a given filing type - e.g. 'N-PX'
`count`	Number of filings to fetch per page. Valid options are 10, 20, 40, 80, or 100. Other values will result in the closest count.
`page`	Which page of results to return.

Details

Note On 'Fast Search' – The SEC Company Search page also includes a 'Fast Search' function to "search" by CIK or Stock Ticker. This doesn't actually search, but rather goes directly to the company details page if found. If you have a company's CIK or Ticker, use the company_information, company_filings, or company_details functions.

Value

A dataframe of companies

cik
company_href
name
location
location_href
formerly
sic
sic_description
sic_href

Examples


try(company_search("Intel"))

try(company_search("Intel"))

SEC Current Events

Description

Provides access to the SEC Current Events search tool from here

Usage

current_events(day, form)
current_events(day, form)

Arguments

`day`	(0-5) Day to search for current forms. e.g. '2' returns forms from 2 business days ago.
`form`	Form to return filings (e.g. '10-K')

Value

A dataframe with one row per company with Includes the following columns -

cik
type
href
company_name
company_href
filing_date

Examples


try(current_events(0, "10-K")[1:5,])

try(current_events(0, "10-K")[1:5,])

SEC Notice of Effectiveness

Description

Returns the current Notice of Effectiveness from the most recently completed business day from here

Usage

effectiveness()
effectiveness()

Details

You can also see the same filings going further back by using 'latest_filings()' specifying the type = "EFFECT"

Value

a data.frame with each row as a submission with the following columns:

registration_number
file_href
registrant
registrant_href
filing_date
effective_date
division
type

Examples


try(effectiveness())

try(effectiveness())

SEC Filing Details

Description

The SEC generates a html page as an index for every filing it receives containing all the meta-information about the filing. We extract 3 main types of information:

Filing Information: Filing date, accepted date, etc.
Documents: All the documents included in the filing
Filers: Companies included in the filing
Funds: Funds included in the filing

Usage

filing_details(x)

## S3 method for class 'character'
filing_details(x)

## S3 method for class 'xml_node'
filing_details(x)
filing_details(x)

## S3 method for class 'character'
filing_details(x)

## S3 method for class 'xml_node'
filing_details(x)

Arguments

`x`	URL to a SEC filing index page

Details

For a company, there is typically a single filer and no funds, but many filings for funds get more complicated - e.g. 400+ funds with 100's of companies

NOTE: This can get process intensive for large fund pages. If you don't need all components, try just using filing_info

Value

A list with the following components:

information: A data.frame as returned by filing_information
documents: A data.frame as returned by filing_documents
filers: A data.frame as returned by filing_filers
funds: A data.frame as returned by filing_funds

Examples


# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_details(x))

# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_details(x))

SEC Filing Documents

Description

If you know you're going to want all the details of a filing, including documents funds and filers, look at 'filing_details'

Usage

filing_documents(x)

## S3 method for class 'character'
filing_documents(x)

## S3 method for class 'xml_node'
filing_documents(x)
filing_documents(x)

## S3 method for class 'character'
filing_documents(x)

## S3 method for class 'xml_node'
filing_documents(x)

Arguments

`x`	URL or xml_document for a SEC filing index page

Details

Information returned:

seq
description
document
href
type
size

Value

A dataframe with all the documents in the filing along with their meta info

Examples


# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_documents(x))

# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_documents(x))

SEC Filing Included Filers

Description

SEC Filing Included Filers

Usage

filing_filers(x)

## S3 method for class 'character'
filing_filers(x)

## S3 method for class 'xml_node'
filing_filers(x)
filing_filers(x)

## S3 method for class 'character'
filing_filers(x)

## S3 method for class 'xml_node'
filing_filers(x)

Arguments

`x`	URL to a SEC filing index page

Value

A dataframe with all the filers in the filing along with their info

Examples


# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_filers(x))

# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "712515/000071251517000063/0000712515-17-000063-index.htm")
try(filing_filers(x))

SEC Filing Funds

Description

SEC Filing Funds

Usage

filing_funds(x)

## S3 method for class 'character'
filing_funds(x)

## S3 method for class 'xml_node'
filing_funds(x)
filing_funds(x)

## S3 method for class 'character'
filing_funds(x)

## S3 method for class 'xml_node'
filing_funds(x)

Arguments

`x`	URL to a SEC filing index page

Value

A dataframe with all the funds associated with a given filing

Examples


# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "933691/000119312517247698/0001193125-17-247698-index.htm")
try(filing_funds(x))

# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "933691/000119312517247698/0001193125-17-247698-index.htm")
try(filing_funds(x))

SEC Filing Information

Description

The SEC generates a html page as an index for every filing it receives containing all the meta-information about the filing.

Usage

filing_information(x)

## S3 method for class 'character'
filing_information(x)

## S3 method for class 'xml_node'
filing_information(x)
filing_information(x)

## S3 method for class 'character'
filing_information(x)

## S3 method for class 'xml_node'
filing_information(x)

Arguments

`x`	URL or xml_document for a SEC filing index page

Details

Information returned:

type
description
accession_number
filing_date
accepted_date
documents
period_date
changed_date
effective_date
filing_bytes

Not all details are valid for all filings, but the column will always be present

If you know you're going to want all the details of a filing, including documents funds and filers, look at 'filing_details'

Value

A dataframe with all the parsed meta-info on the filing

Examples


# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "933691/000119312517247698/0001193125-17-247698-index.htm")
try(filing_information(x))

# Typically you'd get the URL from one of the search functions
x <- paste0("https://www.sec.gov/Archives/edgar/data/",
            "933691/000119312517247698/0001193125-17-247698-index.htm")
try(filing_information(x))

SEC Full-Text Search

Description

Provides access to the SEC fillings full-text search tool.

Usage

full_text(
  q = "*",
  type = "",
  reverse_order = FALSE,
  count = 100,
  page = 1,
  stemming = TRUE,
  name = "",
  cik = "",
  sic = "",
  from = "",
  to = "",
  location = "",
  incorporated_location = FALSE
)
full_text(
  q = "*",
  type = "",
  reverse_order = FALSE,
  count = 100,
  page = 1,
  stemming = TRUE,
  name = "",
  cik = "",
  sic = "",
  from = "",
  to = "",
  location = "",
  incorporated_location = FALSE
)

Arguments

`q`	Search query. For details on special formatting, see the FAQ.
`type`	Type of forms to search - e.g. '10-K'. Can also be a list of types - e.g. c("10-K", "10-Q")
`reverse_order`	[DEP] If true, order by oldest first instead of newest first
`count`	[DEP] Number of results to return - will always try to return 100
`page`	Which page of results to return
`stemming`	[DEP] Search by base words(default) or exactly as entered
`name`	Company name OR individual's name. Cannot be combined with 'cik' or 'sik'.
`cik`	Company code to search. Cannot be combined with 'name' or 'sic'
`sic`	[DEP] Standard Industrial Classification of filer to search for. Cannot be combined with 'cik' or 'name'. Special options - 1: all, 0: Unspecified.
`from`	Start date. Must be in the form of 'mm/dd/yyyy'. Must also specify 'to'
`to`	End date. Must be in the form of 'mm/dd/yyyy'. Must also specify 'from'
`location`	Filter based on company's location
`incorporated_location`	boolean to use location of incorporation rather than location of HQ

Value

A dataframe list of results including the following columns -

filing_date
name
href
company_name
cik
sic
content
parent_href
index_href

Examples


try(full_text('intel'))

try(full_text('intel'))

SEC Mutual Fund Search

Description

Provides access to the results of the SEC's Mutual fund search tool available here

Usage

fund_search(term)

fund_fast_search(identifier)
fund_search(term)

fund_fast_search(identifier)

Arguments

`term`	Search term to search for in a fund name
`identifier`	A Series, Class/Contract ID, Ticker Symbol or CIK

Details

NOTE: This is really a specific version of the Variable Insurance search tool.

Value

A dataframe of funds found including the following columns -

class_id
class_filings_href
class_name
class_ticker
series_id
series_filings_href
series_name
series_funds_href
cik
cik_name
cik_filings_href
cik_funds_href

Functions

fund_fast_search: Performs a 'Fast Search' based on a fund identifier

Examples


try(fund_search("precious metals"))
try(fund_fast_search("VMFVX"))

try(fund_search("precious metals"))
try(fund_fast_search("VMFVX"))

SEC Header Search

Description

Searches filing headers going back to 1994 excluding the most recent day using the interface here

Usage

header_search(q, page = 1, from = 1994, to = 2017)
header_search(q, page = 1, from = 1994, to = 2017)

Arguments

`q`	The search string. Documentation here
`page`	Which results page to return (default: 1)
`from`	Start year (default: 1994)
`to`	End year (default: Current year)

Value

A dataframe of funds found including the following columns -

company_name
filing_href
form
filing_date
size

Examples


try(header_search("company-name = Apple"))

try(header_search("company-name = Apple"))

SEC Latest Filings

Description

Provides access to the latest SEC filings from here

Usage

latest_filings(
  name = "",
  cik = "",
  type = "",
  owner = "include",
  count = 40,
  page = 1
)
latest_filings(
  name = "",
  cik = "",
  type = "",
  owner = "include",
  count = 40,
  page = 1
)

Arguments

`name`	Optional company name to limit filing results
`cik`	Optional company cik to limit filing results
`type`	Optional form type to limit filing results
`owner`	How to include ownership filings. Options are include (default) exclude only
`count`	Number of results to return
`page`	Which page of results to return

Value

a dataframe list of recent results, ordered by descending accepted date. Includes the following columns -

type
href
company_name
company_type
cik
filing_date
accepted_date
accession_number
size

Examples


try(latest_filings())

try(latest_filings())

Parse Filing

Description

Given a link to filing document (e.g. the 10-K, 8-K) in HTML, process the file into parts and items. This enables follow-up processing of a desired section - e.g. just the Risk Factors. 'item.name' and 'part.name' are taken directly from the document without any attempt to normalize.

Usage

parse_filing(x, strip = TRUE, include.raw = FALSE, fix.errors = TRUE)
parse_filing(x, strip = TRUE, include.raw = FALSE, fix.errors = TRUE)

Arguments

`x`	- URL to a filing HTML document, html text or xml_document
`strip`	- Should non-text elements be removed? Default: true
`include.raw`	- Include unprocessed nodes in result? Default: false
`fix.errors`	- Try to fix document errors (e.g. missing part labels). WIP. Default: true

Details

NOTE: This has been tested on a range of documents, but formatting differences could cause failures. Please report an issue for any document that isn't parsed correctly.

FURTHER NOTE: Not all filings are well formed - missing headings, bad spacing, etc. These can all throw the parsing off!

Value

a dataframe with one row per paragraph

part.name: Detected name of the Part
item.name: Detected name of the Item
text: Text of the paragraph / node
raw*: Raw HTML of the node if include.raw = TRUE

Examples


try(head(parse_filing(paste0('https://www.sec.gov/Archives/edgar/data/',
     '712515/000071251517000010/ea12312016-q3fy1710qdoc.htm')), 6))

try(head(parse_filing(paste0('https://www.sec.gov/Archives/edgar/data/',
     '712515/000071251517000010/ea12312016-q3fy1710qdoc.htm')), 6))

Parse Submission

Description

Raw SEC filings are sent in a SGML file - this parses that master submission into component documents, with content lines in list column 'TEXT'.

Usage

parse_submission(x, include.binary = T, include.content = T)
parse_submission(x, include.binary = T, include.content = T)

Arguments

x

- Input submission to parse. May be one of the following:

URI: URL to a SEC complete submission text file
Text: String with the full submission
File path: Path to local file containing the submission

include.binary

- Default TRUE, determines if the content of binary documents is returned.

include.content

- Default TRUE, determines if the content of documents is returned.

Details

Most of the time the information you need along with the specific files will be available by using filing_documents, but there are scenarios where you may want to access the full contents of the master submission -

Old Submissions: Older submissions are not parsed into component documents by the SEC so access requires parsing the main filing
Full Document List: The SEC only provides what it considers the relevant documents, but filings often include many more ancillary files
Efficient Downloading: If you're fetching many documents from a filing over many filings, there can be efficiency gains from just downloading a single file.

NOTE: non-text documents are uuencoded and need a separate decoder to be viewed.

Value

a dataframe with one row per document. For the metadata (TYPE, DESCRIPTION, FILENAME) it is important to note that these are provided by the filer and have little standardization or enforcement.

SEQUENCE: Sequence number of the file
TYPE: The type of document, e.g. 10-K, EX-99, GRAPHIC
DESCRIPTION: The type of document, e.g. 10-K, EX-99, GRAPHIC
FILENAME: The document's filename
TEXT: The text representation of the document. For text-based documents (txt, html) this is the actual file contents. For binary files (graphics, pdfs) this contains the uuencoded contents.

Examples


try(
  parse_submission(paste0('https://www.sec.gov/Archives/edgar/data/',
                   '37996/000003799617000084/0000037996-17-000084.txt'))[ ,
                     c('SEQUENCE', 'TYPE', 'DESCRIPTION', 'FILENAME')]
  )

try(
  parse_submission(paste0('https://www.sec.gov/Archives/edgar/data/',
                   '37996/000003799617000084/0000037996-17-000084.txt'))[ ,
                     c('SEQUENCE', 'TYPE', 'DESCRIPTION', 'FILENAME')]
  )

Parse Text Filing

Description

Given a link to a filing document (e.g. the 10-K, 8-K) in TXT, process the file into parts and items. This enables follow-up processing of a desired section - e.g. just the Risk Factors. 'item.name' and 'part.name' are taken directly from the document without any attempt to normalize.

Usage

parse_text_filing(x, strip = TRUE, include.raw = FALSE, fix.errors = TRUE)
parse_text_filing(x, strip = TRUE, include.raw = FALSE, fix.errors = TRUE)

Arguments

`x`	- URL to a filing text document or actual text
`strip`	- Should non-text elements be removed? Default: true
`include.raw`	- Include unprocessed nodes in result? Default: false
`fix.errors`	- Try to fix document errors (e.g. missing part labels). WIP. Default: true

Details

NOTE: This has been tested on a range of documents, but formatting differences could cause failures. Please report an issue for any document that isn't parsed correctly.

FURTHER NOTE: Not all filings are well formed - missing headings, bad spacing, etc. These can all throw the parsing off!

Value

a dataframe with one row per paragraph

part.name: Detected name of the Part
item.name: Detected name of the Item
text: Text of the paragraph / node
raw*: Raw HTML of the node if include.raw = TRUE

Examples


try(head(parse_text_filing(
  "https://www.sec.gov/Archives/edgar/data/37996/000003799602000015/v7.txt"
)))

try(head(parse_text_filing(
  "https://www.sec.gov/Archives/edgar/data/37996/000003799602000015/v7.txt"
)))

SIC Codes

Description

SIC code table with structure.

Usage

sic_codes
sic_codes

Format

A data frame with 1005 rows and 6 variables:

sic: Standard Industrial Classification
industry: Name of industry
division_id: Letter code for the division
division: Name of the division
major: Name of the major group, identified by 1st 2 digits of the sic
group: Name of the group, identified by the 1st 3 digits of the sic

Source

https://www.osha.gov/data/sic-manual

https://www.sec.gov/info/edgar/siccodes.htm

Submission URL Tools

Description

EDGAR submissions are organized fairly regularly. These functions help to fint the URL to submission components.

Usage

submission_index_href(cik, accession)

submission_href(cik, accession)

submission_file_href(cik, accession, filename)
submission_index_href(cik, accession)

submission_href(cik, accession)

submission_file_href(cik, accession, filename)

Arguments

`cik`	Company code
`accession`	accession number for a filing
`filename`	filename provided in a submission

Value

A string with URL requested

Functions

submission_href: Creates a link to the master submission sgml submission file
submission_file_href: provides the link to a given file within a particular submission.

Examples

submission_index_href("0000712515", "0000712515-17-000090")
submission_href("0000712515", "0000712515-17-000090")
submission_file_href("0000712515", "0000712515-17-000090",
                     "pressrelease-ueberroth.htm")
submission_index_href("0000712515", "0000712515-17-000090")
submission_href("0000712515", "0000712515-17-000090")
submission_file_href("0000712515", "0000712515-17-000090",
                     "pressrelease-ueberroth.htm")

SEC Variable Insurance Search

Description

Provides access to the results of the SEC's Variable Insurance Product search tool available here

Usage

variable_insurance_search(term)

variable_insurance_fast_search(identifier)
variable_insurance_search(term)

variable_insurance_fast_search(identifier)

Arguments

`term`	Search term to search for in a company, fund or contract name
`identifier`	A Series, Class/Contract ID, Ticker Symbol or CIK

Value

A dataframe of products found including the following columns -

class_id
class_filings_href
class_name
class_ticker
series_id
series_filings_href
series_name
series_funds_href
cik
cik_name
cik_filings_href
cik_funds_href

Functions

variable_insurance_fast_search: Performs a 'Fast Search' based on an identifier

Examples


  try(variable_insurance_search("precious metals"))
  try(variable_insurance_fast_search("VMFVX"))

try(variable_insurance_search("precious metals"))
  try(variable_insurance_fast_search("VMFVX"))

Package 'edgarWebR'

Help Index

SEC CIK Search

Description

Usage

Arguments

Value

Examples

SEC Company Details

Description

Usage

Arguments

Value

Examples

SEC Company Filings

Description

Usage

Arguments

Value

Examples

Company URL for a CIK

Description

Usage

Arguments

Value

Examples

SEC Company Info

Description

Usage

Arguments

Value

Examples

SEC Company Search

Description

Usage

Arguments

Details

Value

Examples

SEC Current Events

Description

Usage

Arguments

Value

Examples

SEC Notice of Effectiveness

Description

Usage

Details

Value

Examples

SEC Filing Details

Description

Usage

Arguments

Details

Value

Examples

SEC Filing Documents

Description

Usage

Arguments

Details

Value

Examples

SEC Filing Included Filers

Description

Usage

Arguments

Value

Examples

SEC Filing Funds

Description

Usage

Arguments

Value

Examples

SEC Filing Information

Description

Usage