Form 424I Files Dataset

The Form 424I Files Dataset is a complete corpus of EDGAR submissions made on Form 424I — the Securities Act prospectus form that issuers of exchange-traded vehicle securities use to perform their annual Rule 424(i)/Rule 456(d) registration-fee true-up. Each record in the dataset is one accession-numbered Form 424I submission, packaged as an accession folder containing a metadata.json header together with the original EDGAR documents — the short cover prospectus (HTML) and the structured EX-FILING FEES exhibit (Inline XBRL). Filers are commodity trusts, currency trusts, metals trusts, commodity pools, and similar non-1940 Act exchange-traded products that registered an indeterminate amount of securities on Form S-1, S-3, or F-1 and pay registration fees on a pay-as-you-go basis. The dataset covers all Form 424I filings submitted to EDGAR from March 2022 — the point at which the 424I form-type designation became standard on EDGAR — to the present, and is distributed as monthly ZIP containers holding HTML and JSON files.

Update Frequency
Daily
Updated at
2026-04-15
Earliest Sample Date
2022-03-01
Total Size
1.4 MB
Total Records
528
Container Format
ZIP
Content Types
HTML, JSON
Form Types
424I

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What This Dataset Contains

Form 424I is a narrow specialty prospectus form created to operationalize Rule 456(d) and Rule 457(u) under the Securities Act of 1933. It is used by issuers of exchange-traded products structured as commodity pools, commodity trusts, currency trusts, and similar vehicles that register an indeterminate amount of securities on Form S-1 or S-3 and elect to pay registration fees on a "pay-as-you-go" basis tied to the prior fiscal year's net sales. Each Form 424I filing is, in substance, a short annual cover prospectus that (i) identifies the registration statement to which it relates, (ii) reports the fiscal year that has just ended, and (iii) carries a structured fee-calculation exhibit reconciling securities sold during that year against the fees owed (or, when net redemptions exceed sales, declaring that no fee is due). The form's content is overwhelmingly administrative and quantitative rather than narrative: the substantive offering disclosure already lives in the underlying registration statement's prospectus, and Form 424I serves primarily as the legal vehicle for the annual fee true-up and the corresponding prospectus refresh.

The dataset bundles every Form 424I submission EDGAR has accepted under the dedicated 424I form-type designation, beginning March 2022. Records are delivered as monthly ZIP containers; each container holds one accession folder per filing, and each accession folder bundles a metadata.json header file together with the original EDGAR document files preserved in their SGML <DOCUMENT> envelopes. The dataset's file types are HTML and JSON: the HTML files comprise both the cover prospectus and the inline-XBRL fee exhibit, and the JSON file is the per-record metadata header. Image attachments and other binary graphics referenced by the original submission are excluded.

Content Structure of a Single Record

What one record represents

A single record in the Form 424I Files dataset is one complete EDGAR submission of Form 424I — that is, one accession-numbered filing made under Rule 424(i) of the Securities Act of 1933 by an issuer of exchange-traded vehicle securities. On disk, each record is an accession folder named with the eighteen-digit dashless accession number, located inside a YYYY-MM/ directory within a per-month ZIP container. Each accession folder bundles a metadata.json header file together with the original EDGAR document files of the submission, preserving the issuer's own filenames and the SGML <DOCUMENT> envelopes used by EDGAR. The record unit is therefore the filing as a whole, not an individual document, exhibit, or fee-table row.

Container and record layout

Each per-month ZIP contains a single top-level directory matching the YYYY-MM period. Beneath that directory sit one accession folder per filing, each named with the eighteen-digit accession number (no dashes). Inside every accession folder there is exactly one metadata.json plus the original EDGAR document files of the submission.

Top-level content structure of a single record

An accession folder contains two distinct kinds of artifacts:

  1. A metadata.json header file synthesized from the EDGAR submission header, listing the form code, accession number, filing timestamp, primary filer entity or entities, registration file number, fiscal year end, and a complete inventory of every document and data file in the submission with their EDGAR types, sequences, sizes, and original URLs.
  2. The original document files of the submission as filed by the registrant — the 424I prospectus document and the iXBRL EX-FILING FEES exhibit — preserved with their issuer-assigned filenames and wrapped in EDGAR's SGML <DOCUMENT> envelopes.

metadata.json: the header layer

The metadata file is a single flat JSON object that captures the parsed EDGAR submission header and document inventory. The fields that carry intentional structured meaning are:

  • formType — always "424I" for this dataset.
  • accessionNo — the dashed eighteen-digit accession identifier (for example 0001213900-25-093839).
  • filedAt — ISO 8601 timestamp with timezone offset reflecting EDGAR's acceptance time.
  • description — the free-text description supplied by the filer on the EDGAR cover (often simply "Form 424I -").
  • linkToFilingDetails, linkToTxt, linkToHtml, linkToXbrl — canonical URLs back to the primary document, the consolidated SGML submission text file, the EDGAR filing-index page, and the XBRL instance respectively.
  • id — a dataset-internal record hash.
  • documentFormatFiles[] — an ordered array of document descriptors, one entry per document in the submission. Each entry carries sequence, size (bytes, as a string), documentUrl, description, and type. The 424I cover document appears with type: "424I"; the fee table appears with type: "EX-FILING FEES"; the consolidated SGML submission text file is enumerated as a synthetic entry with empty type and sequence.
  • dataFiles[] — a parallel array for ancillary structured attachments, typically the extracted XBRL instance XML pulled from the iXBRL fee exhibit (type: "XML").
  • entities[] — an array of one or more entity records covering the filer and any co-registrants. Per-entity fields include companyName, cik, irsNo, fileNo (the underlying registration statement file number, for example 333-263425), fiscalYearEnd (MMDD), stateOfIncorporation, act ("33" for the Securities Act of 1933), sic, filmNo, type, and tickers[] (the listed ETF symbols of each series, for example BDRY and BWET for an Amplify Commodity Trust filing).
  • seriesAndClassesContractsInformation — an array reserved for fund series/class data, populated for filings tied to series-trust structures and otherwise empty.

The metadata layer is deliberately structural: it identifies the filing and lists its contents, but it does not lift the quantitative fee-calculation data out of the iXBRL exhibit. Any consumer needing dollar amounts, share counts, or interest charges must parse those values from the EX-FILING FEES document.

Document layer: the 424I prospectus document

The first content document is the Form 424I prospectus cover, written in HTML and wrapped in an SGML <DOCUMENT> block whose header lines declare <TYPE>424I, the document <SEQUENCE> (typically 1), the issuer-supplied <FILENAME> (commonly an ea########-424i_<sponsor>.htm pattern from filing agents such as Edgar Agents/EGS), and a <DESCRIPTION> of FORM 424I. The HTML body is intentionally minimal and typically contains:

  • A title or banner identifying the filing as an annual prospectus or annual report under Rule 424(i), naming the fiscal year just ended (for example, "Annual Report Pursuant to Rule 424(i) for Fiscal Year Ending June 30, 2025").
  • The umbrella trust name and the names of each listed series covered by the filing (for example, "Amplify Commodity Trust / Breakwave Dry Bulk Shipping ETF / Breakwave Tanker Shipping ETF").
  • A reference to the underlying registration statement by file number.
  • A short operative statement describing the fee posture for the year — either pointing to the calculation set out in the accompanying EX-FILING FEES exhibit, or stating directly that no registration fee is required because net sales for the period were zero or negative.
  • Standard boilerplate connecting the filing back to the base prospectus and confirming that the document is being filed pursuant to Rule 424(i).

The body is rarely more than a page of rendered text, and the raw HTML is often well under three kilobytes. There is no Item-numbered structure analogous to a 10-K or 8-K; Rule 424(i) does not impose Part/Item scaffolding on the prospectus itself.

Document layer: the EX-FILING FEES exhibit (iXBRL)

The second content document is the structured fee-calculation exhibit, typed EX-FILING FEES, also wrapped in an SGML <DOCUMENT> block. This exhibit is the substantive payload of the filing and is rendered as Inline XBRL (iXBRL) — an HTML document whose namespace declarations bring in the SEC's filing-fees taxonomy (ffd:) and the document-and-entity-information taxonomy (dei:). Two layers of content live inside it:

  1. An <ix:header> block of hidden, non-numeric facts that pin the document to its regulatory context. Typical facts include:

    • ffd:FormTp set to "R 424I" (the rule-based form code recognized by the filing-fees taxonomy).
    • ffd:SubmissnTp set to "424I".
    • ffd:FeeExhibitTp set to "EX-FILING FEES".
    • ffd:RegnFileNb carrying the underlying registration file number (for example 333-263425).
    • dei:EntityCentralIndexKey and dei:EntityRegistrantName identifying the filer.
    • Period contexts pinned to the fiscal-year-end and the filing date.
  2. A visible "Calculation of Filing Fee Tables" section. The table is laid out as one or more line-item rows distinguished by typed members on the ffd:Scties424iAxis axis (one row per registered security). Each row carries the structured per-security data needed to compute the annual fee:

    • The security type, title, and class/series.
    • The aggregate amount of securities sold during the fiscal year (share count and aggregate offering price).
    • The amount of securities redeemed and any net-sales offset.
    • The applicable fee rate for the fiscal year and the resulting fee amount owed.
    • Any interest charge on late fee payments, where applicable.
    • Carryforward and offset entries, when the issuer applies prior-period overpayments against the current year's liability.
    • Totals rows summing the fees owed, interest, and net amount due.

Because the fee data is iXBRL-tagged, every numeric value in the visible table is also a structured fact addressable via its ffd: concept and context. The dataset additionally surfaces the extracted XBRL instance separately in metadata.json's dataFiles[] as a type: "XML" reference for downstream consumers that prefer to parse the instance directly.

Included content

Within each accession record, the dataset includes:

  • The per-record metadata.json synthesized from the EDGAR header.
  • The Form 424I prospectus document (HTML, SGML-wrapped) as filed.
  • The EX-FILING FEES exhibit (iXBRL HTML, SGML-wrapped) as filed.
  • Any other text or HTML attachments enumerated in the original submission.

The consolidated submission text file (linkToTxt) is referenced in the metadata's document inventory but is not materialized as a standalone file inside the accession folder; the dataset stores the constituent documents rather than the consolidated SGML envelope.

Excluded or separate content

The dataset excludes image files (GIF, JPG, PNG) and other binary graphic attachments that may be part of the original EDGAR submission. The underlying registration statement (Form S-1, S-3, or post-effective amendment) to which the 424I cover relates is not bundled with the record; the record carries only the registration file number, leaving consumers to retrieve the base prospectus separately if they need it. Series and class detail beyond what appears in the metadata's entities[] block is likewise not duplicated into the record.

Required-content evolution and the 2020 modernization

Rule 424(i) is itself a recent addition to the prospectus-filing rules. It was adopted as part of the SEC's October 2020 "Filing Fee Disclosure and Payment Methods Modernization" release, which introduced a structured fee-calculation framework and created the EX-FILING FEES exhibit type as the single canonical home for fee tables across registration and prospectus forms. Before that rule package, exchange-traded vehicle issuers handled annual fee-payment prospectuses through Rule 424(h) and surrounding mechanics; the 424I form code itself postdates the modernization, and the dataset's earliest records (March 2022) sit just after the compliance date for large filers and at the front edge of the broader phased adoption.

The structural consequences of the modernization are visible in every record:

  • The fee table is required to be filed as the dedicated EX-FILING FEES exhibit rather than embedded in the prospectus body.
  • The fee table must be tagged in Inline XBRL using the SEC's filing-fees taxonomy (ffd:), with structured facts for form type, submission type, registration file number, registrant identity, securities sold, fee rate, fee owed, interest, and any carryforward/offset.
  • Issuers may apply unused prior-year fees as offsets, and any interest charge on late fee payments is itself a tagged line on the fee table.

Because the form was created with these requirements already in place, there is no pre-iXBRL or pre-modernization era within the dataset's coverage window; every record from March 2022 onward already carries the structured exhibit.

Data-format stability

Form 424I has, throughout its existence, been filed as HTML documents wrapped in EDGAR's SGML envelope, with the EX-FILING FEES exhibit rendered as Inline XBRL. There is no ASCII-text era for this form because the form itself was introduced after EDGAR had moved past plain-text prospectus filings, and there is no standalone-XBRL era because the modernization release that created Rule 424(i) and the 424I form code mandated iXBRL embedding for filing-fee data from the outset. The format of records is therefore stable across the coverage window: HTML body documents, iXBRL fee exhibits, and a JSON metadata header per accession.

Interpretation and extraction notes

Several nuances matter for downstream interpretation and extraction:

  • Quantitative fee data lives only in the exhibit. Dollar amounts of securities sold, fees owed, and any interest on late payments are not promoted into metadata.json. Consumers that want these numbers must parse the iXBRL ffd: facts (or the extracted XML instance referenced in dataFiles[]) from the EX-FILING FEES document.
  • Zero-fee filings are common and substantive. When net redemptions exceed sales for the fiscal year, the prospectus body explicitly states that no registration fee is required, and the fee table is filed with zero amounts. These filings remain valid annual 424(i) prospectuses and appear as full records in the dataset.
  • Multi-series umbrella trusts produce one record per filing, not per series. A single accession can cover multiple listed ETFs operating as separate series of the same statutory trust. The entities[] block carries the trust as filer with multiple tickers[], and the EX-FILING FEES exhibit carries one row per registered security on the ffd:Scties424iAxis.
  • The registration file number is the key cross-reference. The fileNo in entities[] and the ffd:RegnFileNb fact in the iXBRL header both point to the underlying S-1 or S-3 registration statement; this is the only structured link the record provides back to the base prospectus.
  • Filenames are not normalized. Inside an accession folder, the issuer's or filing agent's original filenames are preserved (commonly the ea########...htm Edgar Agents pattern). Only metadata.json has a fixed name; document files must be located by walking the folder or by following documentFormatFiles[].documentUrl/filename references.
  • SGML wrappers are intact. Each document file begins with <DOCUMENT>/<TYPE>/<SEQUENCE>/<FILENAME>/<DESCRIPTION>/<TEXT> lines before the HTML body. Parsers reading these files as pure HTML must either tolerate or strip the SGML preamble and the trailing </TEXT></DOCUMENT> markers.
  • Volume is highly seasonal. Filings cluster sharply around fiscal-year-end anniversaries, with large bursts in March (corresponding to the prevalent December fiscal-year-end cohort) and much thinner volume in other months. This seasonality reflects the issuer population rather than any change in the record format.

Who Files or Publishes This Dataset, and When

Who files the record

Form 424I is filed by a narrow class of registrants: issuers of "exchange-traded vehicle securities" as defined in Rule 456(d) and Rule 457(u) under the Securities Act of 1933. These are not operating companies, and they are not registered investment companies under the Investment Company Act of 1940. They are pooled vehicles whose shares are listed on a national securities exchange and continuously distributed through authorized-participant creation and redemption.

Typical filers include:

  • Commodity trusts holding physical metals (gold, silver, platinum, palladium, copper).
  • Currency trusts holding foreign currency deposits.
  • Commodity pools organized as statutory trusts or limited partnerships that issue exchange-listed shares tracking futures-based strategies.
  • Other exchange-traded products structured as grantor trusts, statutory trusts, or limited partnerships, registered on Form S-1 (occasionally S-3) rather than Form N-1A.

The legal filer of record is the registrant itself — the trust or partnership — identified by its CIK on the submission. The sponsor, trustee, or general partner prepares and signs the filing on the registrant's behalf but is not the filer of record. Investors and authorized participants do not file Form 424I.

When the record is created or required

Form 424I is a periodic, fiscal-year-anchored fee reconciliation, not a transactional supplement. The trigger is the close of the issuer's fiscal year.

  • Rule 456(d) lets these issuers defer the Section 6(b) registration fee on an indeterminate offering and pay annually based on actual sales.
  • Rule 457(u) sets the calculation: aggregate dollar value of exchange-traded vehicle securities sold during the most recent fiscal year, less redemptions and permitted offsets.
  • Rule 424(i) requires the issuer to file the resulting prospectus, with a Rule 457(u) fee table, within 90 days after the issuer's fiscal year end, accompanied by payment of the calculated fee.

Because most qualifying vehicles use a December 31 fiscal year, filings cluster in Q1 of the following calendar year, with a hard outer deadline at the end of March. Vehicles with non-calendar year-ends file on the same 90-day cycle relative to their own year-end. Late payments accrue interest, which is shown on the fee-calculation exhibit.

Each registrant typically files one Form 424I per fiscal year. Amendments are uncommon and usually correct the fee calculation, update the prospectus, or add late-payment interest; they retain the 424I form type on EDGAR.

The 424I form-type designation itself is recent on EDGAR; the earliest filings in this dataset appear in March 2022, when the dedicated submission type became standard. Earlier fee true-ups under Rule 456(d) were submitted under other prospectus form types.

Important distinctions

  • 424I vs. 24F-2. Both are annual fee true-ups for continuously offered, redeemable products, but the regimes are mutually exclusive. Form 24F-2 is filed under Rule 24f-2 of the Investment Company Act by registered investment companies (1940 Act ETFs, mutual funds). Form 424I is filed under Rule 424(i) of the Securities Act by exchange-traded vehicles that are not 1940 Act registrants. The issuer's organizational form and registration statute determine which path applies.
  • 424I vs. 424B-series. Rules 424(b)(1)–(b)(8) cover transactional prospectus supplements (shelf takedowns, pricing, material updates) and appear as 424B1, 424B2, 424B3, etc. They are unrelated to the Rule 456(d) deferred-fee regime. A Rule 456(d) issuer will often file 424B-series supplements during the year for prospectus changes and one Form 424I annually for fee reconciliation.
  • Sponsor versus registrant. The sponsor (the asset-management firm operating the trust) signs and prepares the filing but is not the registrant. The trust or partnership is the filer of record.
  • Indeterminate registration signal. A Form 424I filing is direct evidence that the issuer registered an indeterminate amount of securities under Rule 456(d) rather than a fixed dollar amount with fees paid at registration.

How This Dataset Differs From Similar Datasets or Filings

Form 424I sits at the intersection of two regimes: the Rule 424 prospectus-filing family under the Securities Act of 1933 and the "pay-as-you-go" registration-fee mechanism in Rule 456(d) and Rule 457(u) for exchange-traded products that register an indeterminate amount of securities. The most useful comparisons are with Form 24F-2 (its 1940 Act analog), the rest of the Rule 424 suffix family, the underlying S-1/S-3/F-1 base registration, and the cross-form EX-FILING FEES exhibit.

Form 24F-2 — 1940 Act annual fee filing

The closest functional analog. Both filings implement an annual pay-as-you-go fee model: register an indeterminate amount of securities, sell during the year, true up Section 6(b) fees after fiscal year-end. Both carry a fee calculation table, a registration file-number reference, and a fiscal year-end.

The split is statutory and population-based:

  • 24F-2 is filed under Rule 24f-2 of the Investment Company Act by open-end management companies, UITs, and ETFs registered as investment companies (typically on Form N-1A) — index ETFs such as SPDR or iShares products.
  • 424I is filed under the Securities Act by exchange-traded vehicles that are not 1940 Act investment companies — commodity pools, currency and metals trusts, spot crypto ETPs, futures-based funds.

Neither dataset substitutes for the other; together they cover the full ETP fee-remittance universe.

The Rule 424 family (424A, 424B1–B8, 424H, 424I)

All Rule 424 filings deliver post-effective prospectuses, but the suffix encodes a different legal trigger:

  • 424Apreliminary prospectus under Rule 424(a).
  • 424B1–B8 — post-effective prospectuses tied to actual offerings: pricing supplements, shelf takedowns under Rules 430A/B/C, material updates.
  • 424H — preliminary asset-backed prospectus under Rule 424(h).
  • 424I — Rule 424(i)/456(d) annual fee true-up for indeterminate ETP offerings.

The 424B variants are deal-driven and dominate filing volume; they are the right source for offering-level pricing and tranche analysis. Form 424I is administrative, fiscal-year-driven, and structurally repetitive across a small ETP population. A 424B dataset will not contain ETP annual fee remittances; the 424I dataset will not contain takedown pricing.

Form S-1, S-3, F-1 — base registration statements

Every 424I references a parent S-1, Form S-3, or Form F-1 by file number; the 424I trues up fees that were deferred in that base filing under Rule 456(d). The base registrations contain the full prospectus narrative, risk factors, trust agreement exhibits, and financial statements, and undergo SEC staff review. Form 424I is short, formulaic, and not part of that review process. Use S-1/S-3/F-1 for substantive ETP disclosure; use 424I for the recurring sales-volume and fee-remittance layer attached to it.

EX-FILING FEES / EX-FEES exhibit

Since the SEC's 2020 fee-disclosure modernization, fee-bearing filings (S-1, S-3, F-1, 424B variants, 24F-2) carry a structured Inline XBRL fee exhibit. This is an exhibit type, not a filing type. Form 424I submissions may include EX-FILING FEES as a supporting document, so the relationship is containment, not substitution: a fee-exhibit corpus aggregates fee tables across the entire fee-bearing universe, while the 424I dataset isolates the Rule 424(i)/456(d) ETP true-up specifically and includes the surrounding prospectus and metadata. See also the EX-FEES guidance for filer preparation.

Form 10-K — issuer annual report

ETP trusts with a Section 12 registered class typically file Form 10-Ks covering the same fiscal year as their 424I. The 10-K provides audited GAAP financials, MD&A, and full business disclosure for the trust; the 424I provides only annual share-issuance volume, computed fees, and any late-payment interest. They are complements, not substitutes — the 10-K supplies operating context and the 424I provides a clean, machine-extractable cross-check on share-issuance volume and SEC fee cost.

Boundary summary

Form 424I is the only SEC filing whose sole purpose is the Rule 456(d) annual fee true-up for non-1940 Act exchange-traded vehicles. It is narrower in filer population than 24F-2, narrower in purpose than any other Rule 424 suffix, narrower in content than the parent S-1/S-3/F-1, and distinct from EX-FILING FEES (a cross-form exhibit, not a filing). The Form 424I Files dataset is effectively a census of commodity trusts, currency and metals trusts, and similar 1933 Act ETPs performing a specific annual compliance step. For ETP annual sales volumes, fee accruals, and late-payment patterns within that segment, no other dataset substitutes; for broader fund or ETP research, pair 424I with 24F-2, the parent registration, and the issuer's 10-K.

Who Uses This Dataset

Form 424I content sits at the intersection of fee compliance, prospectus disclosure, and primary-market activity for exchange-traded vehicles. Across the user populations described below, the same record elements drive the work: the fee calculation table, securities-sold figures, interest charges, fiscal-year-end tag, and registration statement file number.

Finance staff at commodity, currency, and metals trust sponsors use the dataset to compute and document their own annual Rule 456(d) fee obligations and to benchmark against peer issuers. They focus on the fee calculation table: aggregate dollar amount of securities sold, applicable fee rate, deductions for previously paid amounts, and any late-payment interest. These figures are reconciled against internal create/redeem logs and transfer agent records before sign-off.

Securities lawyers and disclosure counsel

Outside and in-house counsel advising exchange-traded vehicle issuers use the dataset to draft and review fee exhibits and check Rule 456(d) and Rule 424(i) compliance. They examine the structure of the fee exhibit, footnotes describing how aggregate sold amounts were computed, the gross-versus-net treatment, late-payment interest narrative, and cross-references to the underlying S-1 or S-3 file number. The dataset supports drafting against accepted market practice and preparing responses to staff comment letters on fee methodology.

Fee-and-payments consultants

Consultants and former regulatory staff who advise issuers on fee disputes and late-payment interest use the dataset for reconciliation work. They rely on the registration statement file number tying the 424I to the underlying shelf, the fiscal-year-end date setting the measurement period, the securities-sold totals, the fee rate applied, and any interest assessed for delayed payment.

Market data analysts covering commodity ETPs

Product analytics teams at asset managers, exchanges, and data vendors use the aggregate sold amount as an annual audited cross-check on creation and redemption activity. They compare it against secondary-market flows, NSCC create/redeem reports, and shareholder report disclosures. Discrepancies flag data-quality issues. The fiscal-year-end tag sets the measurement window and the registration file number anchors each record to a specific trust, feeding flow models, market-share dashboards, and AUM reconciliations.

ETP research analysts

Sell-side and independent research analysts covering exchange-traded products use 424I content as an independent annual data point on primary-market activity. The aggregate sold amount and its year-over-year change feed product comparisons and league tables. The registration file number maps each 424I to the issuer's shelf and prospectus history; recurring interest charges flag operational weakness at sponsors that miss fee deadlines.

Issuer compliance teams

Compliance officers at exchange-traded vehicle sponsors reconcile internal inventories of effective Form 8-A and S-1/S-3 registrations against the population of 424I filings actually submitted. The registration file number, fiscal-year-end, issuer CIK, and presence of interest charges drive a compliance calendar and exception report flagging missing, late, or inconsistent filings.

Academic and economic researchers

Researchers studying ETP microstructure, premium/discount behavior, and arbitrage in commodity trusts use 424I filings as a regulator-anchored panel of primary-market sales. The aggregate securities-sold figure, normalized by fiscal year and file number, complements daily flow proxies and supports long-run studies of how indeterminate-amount ETPs scale and how late-payment interest correlates with sponsor characteristics.

Data engineers and RAG developers

Engineering teams building fee, registration, or ETP reference datasets parse the fee calculation table into structured form and attach it to existing issuer records keyed by CIK and file number. Teams building retrieval-augmented systems for securities-law research load prospectus bodies and fee exhibits so models can answer Rule 456(d) questions using filed examples. The HTML prospectus, fee exhibit, and JSON metadata are the primary inputs; fiscal-year tag and registration file number serve as join keys to other EDGAR datasets.

Specific Use Cases

The Form 424I Files dataset supports a small set of concrete workflows centered on annual fee true-ups, primary-market sales volumes, and registration cross-references for exchange-traded vehicles.

  • Annual Rule 456(d) fee benchmarking for ETP sponsors. Treasury staff at commodity, currency, and metals trust sponsors pull the EX-FILING FEES iXBRL exhibit across peer filings to compare aggregate-securities-sold figures, fee rates applied, and any late-payment interest assessed. The extracted ffd: facts feed an internal worksheet that reconciles the sponsor's own forthcoming 424I against transfer-agent create/redeem logs before submission.

  • Primary-market issuance cross-check for commodity ETP analytics. Product analytics teams parse the aggregate sold amount and net-sales/redemption rows from each fee table, key them to the trust by CIK and tickers[] (for example, BDRY, BWET), and compare the annual figure against summed daily creation/redemption flow proxies and NSCC reports. Material gaps flag data-quality issues in vendor flow series for hard-to-track commodity and spot-crypto ETPs.

  • Compliance calendar and exception reporting. Issuer compliance teams join their internal inventory of effective S-1/S-3 shelves against the dataset on entities[].fileNo and fiscalYearEnd, then check that a 424I exists per shelf per fiscal year. Records carrying a non-zero ffd: interest line are surfaced as late-payment exceptions, and missing-filing alerts feed the in-house regulatory calendar.

  • Drafting templates and staff-comment research for disclosure counsel. Securities lawyers retrieve recent 424I prospectus bodies and fee exhibits filed by trusts of similar structure (for example, multi-series umbrella trusts) to model fee-calculation footnotes, gross-versus-net treatment, and zero-fee language used when net redemptions exceeded sales. The registration fileNo cross-reference and ffd:Scties424iAxis row layout drive consistency across multi-series filings.

  • Late-payment-interest reconciliation for fee consultants. Consultants resolving fee disputes use the structured ffd: interest fact, the fiscalYearEnd measurement period, and the carryforward/offset rows to recompute liability against the SEC's published fee rate schedule. The dataset's structured exhibit allows automated detection of recurring interest charges at specific sponsors.

  • RAG corpus for Rule 424(i) and 456(d) Q&A. Engineering teams building securities-law assistants ingest the HTML prospectus body and the iXBRL fee exhibit per accession, chunked alongside metadata.json headers, so retrieval covers both the operative fee-posture statement and the structured calculation. The corpus is small enough to load in full and is a clean exemplar set for fee-exhibit prompt patterns.

  • Longitudinal panel for ETP scale and sponsor-quality research. Academics build a per-trust, per-fiscal-year panel keyed on entities[].cik and fileNo, with the aggregate sold amount as the year's primary-market issuance and the interest line as a sponsor-operational-quality indicator. The panel supports studies of how indeterminate-amount commodity and currency ETPs scale and whether late-payment patterns correlate with fund size, sponsor type, or product category.

Dataset Access

Dataset Index JSON API: https://api.sec-api.io/datasets/form-424i-files.json

This endpoint returns dataset-level metadata (name, description, last updated timestamp, earliest sample date, total records, total size, form types, container format, and file types), the full dataset download URL, and the list of monthly container files with their individual sizes, record counts, updated timestamps, and download URLs. Polling this endpoint daily lets you detect which monthly containers were modified during the most recent refresh, so you can selectively download only the containers that changed. This endpoint does not require an API key.

Example response:

Example
1 {
2 "datasetId": "1f13365b-9ae0-69e3-8ddc-e2ccfd071356",
3 "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-424i-files.zip",
4 "name": "Form 424I Files Dataset",
5 "updatedAt": "2026-04-15T18:09:22.112Z",
6 "earliestSampleDate": "2022-03-01",
7 "totalRecords": 528,
8 "totalSize": 1357335,
9 "formTypes": ["424I"],
10 "containerFormat": "ZIP",
11 "fileTypes": ["HTML", "JSON"],
12 "containers": [
13 {
14 "downloadUrl": "https://api.sec-api.io/datasets/form-424i-files/2026/2026-04.zip",
15 "key": "2026/2026-04.zip",
16 "size": 41280,
17 "records": 12,
18 "updatedAt": "2026-04-15T18:09:22.112Z"
19 }
20 ]
21 }

Download Entire Dataset: https://api.sec-api.io/datasets/form-424i-files.zip?token=YOUR_API_KEY

Downloads the complete Form 424I Files archive, covering all filings from March 2022 to the present in a single ZIP. This endpoint requires an API key.

Download Single Container: https://api.sec-api.io/datasets/form-424i-files/2025/2025-09.zip?token=YOUR_API_KEY

Downloads one monthly container ZIP, organized as YYYY/YYYY-MM.zip. Use this to retrieve a specific month rather than the entire dataset, for example when only a subset of containers changed in the latest refresh. This endpoint requires an API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers Form 424I, a Securities Act prospectus form filed under Rule 424(i) and used to perform the annual registration-fee true-up required by Rule 456(d) and Rule 457(u) for issuers of exchange-traded vehicle securities that registered an indeterminate amount of securities on a Form S-1, S-3, or F-1 shelf.

What does one record in this dataset represent?

One record is one accession-numbered EDGAR submission of Form 424I — a complete filing — packaged on disk as an accession folder containing a metadata.json header plus the original document files of the submission (the cover prospectus in HTML and the EX-FILING FEES exhibit in Inline XBRL).

Who is required to file Form 424I?

Issuers of "exchange-traded vehicle securities" as defined in Rule 456(d) and Rule 457(u): commodity trusts, currency trusts, metals trusts, commodity pools, and similar non-1940 Act exchange-traded products. The trust or partnership is the legal filer of record; the sponsor signs on its behalf. Registered investment companies file Form 24F-2 instead.

When are Form 424I filings due?

Within 90 days after the issuer's fiscal year end. Because most qualifying vehicles use a December 31 fiscal year, filings cluster in Q1 of the following calendar year with a hard outer deadline at the end of March. Vehicles with non-calendar fiscal years file on the same 90-day cycle relative to their own year-end.

What time period does the dataset cover?

The dataset covers all Form 424I filings submitted to EDGAR from March 2022 — when the dedicated 424I form-type designation became standard on EDGAR — through the present, with new monthly containers appearing on the regular dataset refresh cadence.

What file format is the dataset distributed in?

The dataset is distributed as monthly ZIP containers organized as YYYY/YYYY-MM.zip. Each container holds one accession folder per filing; each accession folder contains a metadata.json plus the original EDGAR documents (HTML for the prospectus and the iXBRL EX-FILING FEES exhibit). Image files and other binary graphics are excluded.

How does Form 424I differ from Form 24F-2?

Both are annual pay-as-you-go fee true-ups, but the regimes are mutually exclusive. Form 24F-2 is filed under Rule 24f-2 of the Investment Company Act of 1940 by registered investment companies (open-end funds, UITs, and 1940 Act ETFs typically registered on Form N-1A). Form 424I is filed under Rule 424(i) of the Securities Act of 1933 by exchange-traded vehicles that are not 1940 Act registrants — commodity pools, currency and metals trusts, spot crypto ETPs, and futures-based funds.

Where do the dollar amounts of fees and securities sold live in a record?

In the EX-FILING FEES exhibit only. The metadata.json header lists documents and identifies the filer but does not promote fee figures, share counts, or interest charges. Consumers needing those values must parse the iXBRL ffd: facts in the EX-FILING FEES document or read the extracted XBRL instance referenced from metadata.json's dataFiles[].