Package ‘edgarWebR’

October 13, 2022

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.
Version 1.1.0
Maintainer Micah J Waldstein <micah@waldste.in>
Date 2021-04-18
Depends R (>= 3.4.0)
Imports xml2 (>= 1.3.2), methods, httr, jsonlite
Suggests covr, ggplot2, knitr, lintr, purrr, rmarkdown, httptest,
tokenizers, devtools, dplyr, tidyr, roxygen2, pkgdown
VignetteBuilder knitr
License MIT + file LICENSE
Encoding UTF-8
LazyData true
RoxygenNote 7.1.1
URL https://mwaldstein.github.io/edgarWebR/,
https://github.com/mwaldstein/edgarWebR
BugReports https://github.com/mwaldstein/edgarWebR/issues
NeedsCompilation no
Author Micah J Waldstein [aut, cre]
Repository CRAN
Date/Publication 2021-04-24 12:10:06 UTC

R topics documented:
cik_search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
company_details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
company_filings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1
2 cik_search

company_href . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
company_information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
company_search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
current_events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
effectiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
filing_details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
filing_documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
filing_filers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
filing_funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
filing_information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
full_text . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
fund_search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
header_search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
latest_filings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
parse_filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
parse_submission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
parse_text_filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
sic_codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
submission_index_href . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
variable_insurance_search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Index 25

cik_search SEC CIK Search

Description
Provides access to the SEC CIK search tool from here

Usage
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
company_details 3

Examples

try(cik_search("cloudera"))

company_details 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
)

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
4 company_filings

Examples

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

company_filings SEC Company Filings

Description
SEC Company Filings

Usage
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"))

company_href 5

company_href 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)

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_information SEC Company Info

Description
Fetches basic information on a given company from the SEC site

Usage
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
6 company_search

Examples

try(company_information("INTC"))

company_search 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
)

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 abbrevia-
tions. 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
company_search 7

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 com-
pany 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"))
8 effectiveness

current_events SEC Current Events

Description
Provides access to the SEC Current Events search tool from here

Usage
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,])

effectiveness SEC Notice of Effectiveness

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

Usage
effectiveness()
filing_details 9

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())

filing_details 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)
10 filing_documents

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))

filing_documents 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_filers 11

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))

filing_filers 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)

Arguments
x URL to a SEC filing index page
12 filing_funds

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))

filing_funds 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)

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))
filing_information 13

filing_information 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)

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
14 full_text

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))

full_text 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
)

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‘
fund_search 15

sic [DEP] Standard Industrial Classification of filer to search for. Cannot be com-
bined 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'))

fund_search 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)

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

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"))

header_search 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)
latest_filings 17

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"))

latest_filings 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
)
18 parse_filing

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())

parse_filing 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_submission 19

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))

parse_submission 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)

20 parse_submission

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 enforce-
ment.

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')]
)
parse_text_filing 21

parse_text_filing 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)

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"
)))
22 submission_index_href

sic_codes SIC Codes

Description
SIC code table with structure.

Usage
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_index_href Submission URL Tools

Description
EDGAR submissions are organized fairly regularly. These functions help to fint the URL to sub-
mission components.

Usage
submission_index_href(cik, accession)

submission_href(cik, accession)

submission_file_href(cik, accession, filename)

variable_insurance_search 23

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")

variable_insurance_search
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)

Arguments

term Search term to search for in a company, fund or contract name

identifier A Series, Class/Contract ID, Ticker Symbol or CIK
24 variable_insurance_search

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"))
Index

∗ datasets
sic_codes, 22

cik_search, 2
company_details, 3, 7
company_filings, 3, 4, 7
company_href, 5
company_information, 3, 5, 7
company_search, 6
current_events, 8

effectiveness, 8

filing_details, 9
filing_documents, 10, 10, 20
filing_filers, 10, 11
filing_funds, 10, 12
filing_information, 10, 13
full_text, 14
fund_fast_search (fund_search), 15
fund_search, 15

header_search, 16

latest_filings, 17

parse_filing, 18
parse_submission, 19
parse_text_filing, 21

sic_codes, 22
submission_file_href
(submission_index_href), 22
submission_href
(submission_index_href), 22
submission_index_href, 22

variable_insurance_fast_search
(variable_insurance_search), 23
variable_insurance_search, 23

25