The Form S-3D Files dataset is an EDGAR-sourced corpus of every Securities Act registration statement on Form S-3D and its amendment counterpart Form S-3D/A — the short-form, automatically-effective registration used by domestic Exchange Act reporting issuers to register securities issued through dividend reinvestment plans (DRIPs) and interest reinvestment plans. Each record is a single EDGAR submission, packaged as a self-contained accession-numbered folder containing a structured metadata.json object and the verbatim source documents that made up the filing — the registration statement, its legal exhibits, the Inline-XBRL filing-fees exhibit when present, and the full SGML complete-submission text file. Filers are the issuers themselves — domestic operating companies, bank holding companies, utilities, REITs, business development companies, and closed-end funds — not the plans, plan administrators, or transfer agents. The dataset begins on 1994-01-01, reflecting the 1993–1996 phase-in of mandatory EDGAR filing, and continues through the present, providing a multi-decade record of DRIP registration activity across the U.S. reporting issuer population.
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Dataset Index JSON API
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Form S-3D is the dividend or interest reinvestment plan variant of the short-form Form S-3 registration statement under the Securities Act of 1933. It is filed under General Instruction III of Form S-3 by issuers already eligible to use Form S-3, and it is automatically effective upon filing — there is no SEC review cycle and no separate effectiveness order. Its scope is narrow: it registers the shares, debt securities, or fractional interests that the registrant will issue into a dividend reinvestment plan (DRP) or interest reinvestment plan, where existing security holders elect to apply cash distributions to the purchase of additional securities of the same issuer. Form S-3D/A is the amendment counterpart, used to update a previously filed S-3D — typically to add securities, restate the plan, refresh exhibits, or correct a defect — and it references the original 333-prefix file number assigned by the SEC.
Because effectiveness is immediate, the filing serves simultaneously as the registration statement and as the prospectus delivery vehicle for the plan. Substantively, the body of the filing is a registration cover page plus a DRP prospectus, accompanied by the legal exhibits required by the Securities Act and by Item 601 of Regulation S-K.
The dataset captures every S-3D and S-3D/A submission as EDGAR received it, minus only the embedded image binaries. The dataset is distributed in ZIP containers; the file types found inside the dataset are TXT, JSON, HTML/HTM, XHTML, and occasional PDF, with HTM/HTML the dominant body format for modern filings. Coverage runs from January 1994 to the present.
One record in the Form S-3D Files dataset is a single EDGAR submission of either a Form S-3D registration statement or a Form S-3D/A amendment, packaged as a self-contained folder named after the 18-digit accession number with no dashes (for example 000110465925075558). Each folder bundles a metadata.json describing the submission together with the verbatim source documents that constitute the filing — the registration statement itself, every textual exhibit attached to it, and the full SGML complete-submission text file produced by EDGAR. The accession number is the canonical record key; it appears in dashed form inside metadata.json (for example "0001104659-25-075558") and in undashed form as the directory name and inside EDGAR URLs.
A record is therefore both a structured metadata object and a faithful copy of the original Securities Act filing as it was disseminated through EDGAR.
A record is a flat folder containing two layers of content:
A structured metadata layer in metadata.json describing the submission, the filing parties, the inventory of attached documents, and dataset-level identifiers.
A document layer consisting of one SGML-wrapped file per attached document. Every non-metadata file in the folder begins with an EDGAR <DOCUMENT> envelope of the form:
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<DOCUMENT>
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<TYPE>S-3D
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<SEQUENCE>1
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<FILENAME>tm2522746-1_s3d.htm
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<DESCRIPTION>S-3D
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<TEXT>
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<html>... full body of the prospectus or exhibit ...</html>
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</TEXT>
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</DOCUMENT>
The body of the prospectus or exhibit is nested inside <TEXT> as HTML, XHTML, or plain ASCII depending on the era. The trailing complete-submission .txt file concatenates every <DOCUMENT> block, prefixed by the <SEC-HEADER> envelope, into the full SGML submission as EDGAR received it.
Filenames inside the folder are filer-generated slugs (typical examples: tm2522746-1_s3d.htm, tm2522746d2_ex5-1.htm, tm2522746d2_ex23-1.htm, tm2522746d1_ex-filingfees.htm) and carry no guaranteed semantics. Document role must be resolved through the type and documentUrl fields under metadata.json.documentFormatFiles, not by parsing filenames.
metadata.json objectmetadata.json is a single JSON object with the following intentional top-level keys:
formType — "S-3D" for original registrations, "S-3D/A" for amendments.accessionNo — dashed accession number, e.g. "0001104659-25-075558".effectivenessDate — the date the registration becomes effective. Because S-3D is automatically effective upon filing, this equals the filing date.filedAt — ISO 8601 timestamp with timezone offset (e.g. "2025-08-08T10:48:19-04:00").description — human-readable form description, e.g. "Form S-3D - Registration of securities, dividend or interest reinvestment plans, immediately effective".linkToFilingDetails — URL of the primary S-3D HTM on www.sec.gov/Archives/....linkToTxt — URL of the full SGML complete-submission text file on EDGAR.linkToHtml — URL of the EDGAR filing-index page.linkToXbrl — URL of the extracted XBRL instance when the filing carries one (modern filings with an Inline-XBRL filing-fees exhibit); empty string otherwise.id — opaque 32-character hexadecimal dataset record identifier.documentFormatFiles — array describing every document attached to the EDGAR submission. Each entry carries sequence (ordinal string; blank for the trailing complete-submission text), size (bytes as a string), documentUrl, description, and type. The type vocabulary observed for S-3D filings includes "S-3D" for the registration statement itself, "EX-5.1" (legal opinion), "EX-23.1" (auditor consent), "EX-FILING FEES" (Exhibit 107), and "GRAPHIC" for image attachments. The complete-submission text file appears as a final entry with empty sequence.dataFiles — array of supplemental machine-readable artifacts. Modern S-3D filings list one entry — the extracted XBRL instance for the filing-fees exhibit (typical filename pattern ..._ex-filingfees_htm.xml). Pre-2022 filings have an empty dataFiles array.entities — array of filing parties. Each object describes one EDGAR entity with companyName suffixed by EDGAR role (for example "ACNB CORP (Filer)"), cik, irsNo, fileNo (the SEC-assigned 333-prefix registration number), filmNo, a mirrored formType, act ("33" for the Securities Act of 1933), sic (industry code with label, e.g. "6022 State Commercial Banks"), stateOfIncorporation, fiscalYearEnd as MMDD, and a tickers array. Multiple objects appear when subsidiary co-registrants or filing agents are recorded; each carries its own role suffix (Filer, Subject, Filed-by, etc.).seriesAndClassesContractsInformation — array used by investment-company filers to enumerate registered series and class identifiers. Empty for operating-company S-3D filings.<TYPE>S-3D)The registration statement itself is the primary document, sequence 1, and its HTM body carries the full Securities Act cover and prospectus content for the dividend or interest reinvestment plan. It opens with a facing page identifying the registrant by exact legal name, state of incorporation, IRS employer identification number, principal executive office address, telephone number, and the name and address of the agent for service. The cover enumerates the title and amount of securities being registered under the plan and provides the calculation-of-registration-fee table required by Rule 457 (in modern filings this table is replaced by a cross-reference to the separate EX-FILING FEES exhibit).
The DRP prospectus body that follows is organized as a question-and-answer or section-by-section description of the plan, typically covering: eligibility and enrollment; sources of plan shares (open-market purchases versus original issuance); pricing methodology and any discount; treatment of cash dividends and optional cash purchases; fees and brokerage commissions allocated to participants; certificate and book-entry mechanics; withdrawal, sale, and termination rights; federal income-tax consequences; plan administration; and the registrant's reserved rights to amend, suspend, or terminate the plan. The prospectus incorporates the registrant's most recent Exchange Act filings by reference under General Instruction IV of Form S-3 and lists the documents incorporated.
The statement closes with the Part II disclosures — other expenses of issuance and distribution, indemnification of directors and officers, recent sales of unregistered securities (where applicable), the exhibits index, and undertakings — followed by a signature block executed by the registrant, the principal executive officer, the principal financial officer, the principal accounting officer, and a majority of the board of directors or their attorneys-in-fact.
<TYPE>EX-5.1)A short-form legal opinion letter, addressed to the registrant's board, in which counsel opines that the securities being registered have been duly authorized and, when issued in accordance with the plan, will be validly issued, fully paid, and non-assessable. The exhibit identifies counsel, the documents reviewed, the assumptions and qualifications made, the jurisdictions whose law is opined upon, and consents to the opinion's filing as an exhibit and to references to counsel under "Legal Matters" in the prospectus.
<TYPE>EX-23.1)A one- or two-paragraph written consent from the registrant's independent registered public accounting firm consenting to the incorporation by reference of its audit report on the registrant's financial statements (and, where applicable, on internal control over financial reporting) into the S-3D registration statement, and to references to the firm under the heading "Experts" in the prospectus. Multiple EX-23.x exhibits may appear when a registrant changed auditors or relies on more than one expert.
<TYPE>EX-FILING FEES)The Inline-XBRL filing-fee exhibit required for Securities Act registration statements since the SEC's 2022 Filing Fee Disclosure rule. It is delivered as XHTML with embedded ix: tags and xbrli:context declarations and references the FFD (filing-fees) taxonomy. It reports per-Rule-457 registration-fee data — title and class of security, amount registered, proposed maximum aggregate offering price, fee rate, and fee amount — together with hidden facts such as ffd:FormTp, ffd:SubmissnTp, dei:EntityCentralIndexKey, and dei:EntityRegistrantName. Modern S-3D records also surface the extracted XBRL instance separately under metadata.json.dataFiles and populate linkToXbrl.
Depending on the registrant and the plan, additional Item 601 exhibits may be attached: the plan document itself as Exhibit 4.x or 99.x, an Exhibit 8 tax opinion, additional consents (Exhibit 23.x for each accounting or expert party), powers of attorney (Exhibit 24), and on amendments any restated plan or supplemental disclosure. Exhibit numbers and presence vary by filer.
The trailing .txt document, listed in documentFormatFiles with an empty sequence, is EDGAR's full SGML submission text — the concatenation of every <DOCUMENT> block plus the leading <SEC-HEADER> envelope. It is the definitive source for the original submission as transmitted to EDGAR and is useful when a consumer wants a single authoritative byte-for-byte copy of the filing.
GRAPHIC rows in documentFormatFiles describe the embedded image binaries (.jpg, .gif, .png) referenced by the registration statement or exhibits. Their metadata is preserved, but the binaries themselves are not included in the dataset record (see "Excluded content" below).
A record contains the metadata.json JSON object plus, for every non-image entry in documentFormatFiles, the corresponding SGML-wrapped document copied verbatim from EDGAR. This means the registration statement HTM, every exhibit document (HTM, XHTML, occasional PDF or plain TXT), the Inline-XBRL filing-fees exhibit when present, and the complete-submission text file.
GRAPHIC entries (typically .jpg, .gif, .png) are excluded by design. Their metadata still appears in documentFormatFiles, so the inventory is complete, but <img src="..."> references inside the HTM bodies resolve to filenames that are not present locally; these broken image links are expected.linkToFilingDetails, linkToHtml, linkToTxt, and linkToXbrl.Form S-3D's substantive content has been broadly stable since EDGAR became mandatory in 1993–1996, but several rule changes have altered exhibit and disclosure expectations across the dataset's coverage window:
EX-FILING FEES document with a corresponding extracted XBRL instance under dataFiles.The dataset spans January 1994 to present and reflects the full evolution of EDGAR document formats:
<DOCUMENT> envelope. Bodies of the registration statement and exhibits were unformatted text, with tabular content rendered using fixed-width spacing.<TYPE>, <SEQUENCE>, <FILENAME>, and <DESCRIPTION> headers preserved on each document.EX-FILING FEES exhibit produces XHTML documents with embedded ix: tags and an extracted XBRL instance under dataFiles; linkToXbrl becomes populated for these filings. The S-3D body itself is not XBRL-tagged — Inline XBRL on Form S-3D is confined to the filing-fees exhibit.The SGML <DOCUMENT> envelope and the EDGAR header have remained constant across all eras, so the document-extraction surface of the dataset is uniform regardless of the original filing year.
formType changes to "S-3D/A", and entities[].fileNo typically references the original 333-prefix registration number, making fileNo the most reliable cross-record key for linking an amendment back to the original S-3D. An amendment may restate the prospectus in full or supply only changed pages plus refreshed exhibits, depending on filer practice.documentFormatFiles[].type rather than filenames to identify exhibit role. Filer-generated slugs vary widely, abbreviations differ across filing agents, and the same exhibit number can use different filename conventions across registrants.<img> links in the HTM bodies are expected, not errors — image binaries are intentionally excluded from the dataset record while their GRAPHIC metadata remains.seriesAndClassesContractsInformation is populated with series IDs and class identifiers; for operating-company filers this array is empty.entities may contain more than one object when subsidiaries co-register or when filing agents are recorded. Each object's role suffix in companyName distinguishes its function.effectivenessDate equals the filing date for both original S-3Ds and S-3D/A amendments because the form (and amendment) is automatically effective upon filing.Each record in the Form S-3D Files dataset is a single Securities Act registration statement on Form S-3D (or its amendment, Form S-3D/A) submitted to EDGAR by a domestic Exchange Act reporting issuer to register securities issued through a dividend or interest reinvestment plan. The filer is the issuer of the securities, not the plan, the plan administrator, the transfer agent, or participating shareholders. The filing becomes effective on submission, with no staff review or acceleration order.
Form S-3D is not a separate form. It is Form S-3 used pursuant to General Instruction III of Form S-3, the self-executing registration path for dividend or interest reinvestment plan ("DRIP") offerings. Eligibility tracks Form S-3 generally:
Typical filers include domestic operating companies, bank holding companies, utilities, REITs, business development companies, and closed-end funds with recurring dividend or interest payments and a plan permitting reinvestment of those payments into additional issuer securities. Foreign private issuers cannot use Form S-3D; they register reinvestment plans on Form F-3 (or S-1/Form F-1 if ineligible). Open-end mutual funds use Form N-1A and never appear here.
The automatic-effectiveness path is limited to securities offered "pursuant to a dividend or interest reinvestment plan." In practice this covers:
It does not cover unrelated primary cash offerings, secondary resales, employee benefit plans (Form S-8), exchange offers, or business combinations. A registrant bundling a DRIP with any of those must use a non-automatic Form S-3 instead.
A Form S-3D filing arises from one of:
Form S-3D is governed by Section 6 of the Securities Act and implemented through General Instruction III of Form S-3 together with Securities Act Rule 462(a). Under Gen. Instr. III, a Form S-3 covering DRIP securities "shall become effective upon filing"; Rule 462(a) confirms automatic effectiveness. There is no acceleration request, no staff review window, and no Commission order. The "D" suffix is the EDGAR signal that this self-executing mechanic applies.
Because effectiveness is instantaneous, the filed prospectus is immediately a Section 10(a) statutory prospectus, and plan issuances may proceed without further SEC action. The issuer remains responsible for keeping the prospectus current under Section 10(a)(3) and filing any post-effective amendments required by Item 512 of Regulation S-K.
Filings are not periodic. They appear as needed, driven by plan economics rather than a fiscal calendar:
There is no pricing event, underwriter, or closing; the registration supports continuous, dividend-cycle issuance, and issuers typically file the day they intend to begin or resume drawing from the new shelf.
Form S-3D/A amends a previously filed S-3D. Common triggers:
S-3D/A filings remain subject to the same automatic-effectiveness mechanic and become effective on filing.
The Form S-3 short-form regime, including the Gen. Instr. III DRIP accommodation, was adopted in 1982 as part of the integrated disclosure system; automatic effectiveness for plan offerings has been a feature since adoption. The dataset's earliest EDGAR records are dated January 1994, reflecting the 1993–1996 phase-in of mandatory electronic filing; from May 1996 onward, EDGAR submission was effectively universal for domestic registrants.
Form S-3D is a special-purpose registration statement filed under General Instruction III of Form S-3, used solely to register securities issued through dividend or interest reinvestment plans. It borrows its eligibility framework from S-3 and shares immediate-effectiveness mechanics with a few sibling forms, which is where most confusion arises. The comparisons below isolate the forms most likely to be conflated with S-3D.
S-3D is a sub-use of S-3 invoked through General Instruction III, but the captured transactions diverge:
Researchers studying issuance volume or underwritten offerings need S-3; researchers studying DRIP plan terms need S-3D.
S-3ASR shares S-3D's immediate-effectiveness trait, which makes them mechanically alike. The differences are scope and population:
S-8 is S-3D's closest conceptual cousin: both register plan-issued securities and both are automatically effective on filing. They diverge on participant base and plan economics:
Mechanically similar, but the filing populations do not overlap.
S-1 sits at the opposite end of the registration spectrum:
If a DRIP issuer is not S-3-eligible, the registration will appear in S-1 data, not S-3D.
F-3 is the foreign private issuer counterpart to S-3. There is no "F-3D" instruction, so foreign issuers running DRIPs register plan securities on F-3 itself or rely on home-country exemptions. The S-3D dataset is therefore implicitly domestic-only; cross-border DRIP research must look to F-3.
S-4 overlaps with S-3D only as a shared Securities Act registration statement. In substance they are unrelated:
Included here only because both are Securities Act registrations — the analytical use cases do not overlap.
Rule 424 prospectus filings are the prospectuses and supplements delivered after a registration is effective. For S-3 shelves, the substantive offering terms appear in 424B filings tied to specific takedowns. For S-3D, the DRIP prospectus is typically filed inside the registration statement itself, and follow-on 424As are uncommon. Researchers tracking individual takedowns need 424B; researchers tracking DRIP terms can rely on S-3D directly.
10-K is not a peer registration form but is the principal companion dataset. S-3 eligibility requires current Exchange Act reporting, and the issuer-level financials, risk factors, and MD&A in an S-3D prospectus are incorporated by reference from the most recent Form 10-K (and intervening Form 10-Qs and Form 8-Ks). Practical S-3D analysis almost always joins to periodic reports via CIK; the datasets are complementary.
S-3D occupies a single narrow slot: an automatic-effectiveness registration wrapper for DRIP securities issued by an S-3-eligible domestic registrant. Its closest mechanical neighbor is S-3ASR (shared immediate effectiveness) and its closest functional neighbor is S-8 (shared plan-registration logic), but neither is a substitute — the filer populations, plan economics, and participant bases differ in each case. Anything broader (general capital raises, M&A, IPOs, foreign DRIPs, takedown supplements, periodic reporting) belongs in a different dataset.
The Form S-3D Files dataset serves a narrow set of specialists working on plan documentation, share-issuance mechanics, and registration workflows.
Disclosure counsel use S-3D precedent to draft and benchmark new registrations. Because S-3D becomes effective automatically on filing, the prospectus must stand without staff review, making peer comparison essential. Lawyers focus on plan-description language (eligibility, pricing, optional cash purchases, termination), share-source provisions (newly issued vs. open-market), legal opinions, and accountant consents. S-3D/A amendments inform how to extend or replenish registered share pools.
Plan administrators rely on the prospectus operational sections (enrollment, dividend pricing formulas, fractional-share handling, fees, optional cash windows) to onboard plans, draft service agreements, and configure recordkeeping systems that must mirror the registrant's public commitments.
Fundamental and quant analysts track DRIP registration capacity using cover-page share counts, fee tables, and prior plan history. Successive S-3D and S-3D/A filings signal retail reinvestment activity, replenishment cadence, and incremental dilution outside of headline equity offerings. Quant teams build features such as registered-but-unissued capacity and time between exhaustion events.
Asset-servicing teams confirm DRIP-issued shares are properly registered for distribution to beneficial owners. They pull registrant identity, CIK, plan name, share class, and registered share counts to drive entitlement calculations, position reconciliation, and tax reporting in corporate-actions platforms.
IR teams at dividend-paying issuers benchmark peer plan-summary language, fee transparency, and share-source disclosure to inform plan redesigns, board discussions with the transfer agent, and retail-holder communications.
Compliance and product-control teams at brokers offering DRIP-linked products check effective dates, amendment chronology, and registered share counts to confirm issuer registrations remain current and capacity is not exhausted. The data supports product-shelf monitoring and supervisory review of plan-related marketing.
Researchers studying payout policy, retail ownership, and dilution use issuer identifiers, filing dates, share counts, and plan terms to build longitudinal panels on DRIP prevalence, optional cash-purchase features, and plan-design evolution across the dataset's multi-decade span.
EDGAR agents and registration-workflow vendors mine accepted filings for cover-page conventions, exhibit indexing, signature blocks, and registration-fee table formats to power template libraries, automated drafting, and pre-submission validation.
Teams building retrieval and extraction systems over Securities Act filings use the corpus as a narrow, highly templated domain for fine-tuning DRIP-vs.-S-3 classifiers, training extractors for plan terms and share counts, and building Q&A systems for counsel and corporate-actions users.
Across these audiences, the dataset supports the full DRIP lifecycle: drafting and registration (counsel, RegTech), plan administration (transfer agents, IR), downstream servicing (corporate actions, compliance), and analytical use (equity analysts, researchers, AI teams).
The Form S-3D Files dataset supports a small set of concrete workflows around dividend and interest reinvestment plan registrations. The use cases below tie directly to the registration statement, exhibits, and metadata captured in each record.
Disclosure counsel pull the S-3D primary document (<TYPE>S-3D) across a peer set, filtered by entities[].sic, to compare plan-description sections — eligibility, share-source (open-market vs. newly issued), pricing formulas, discounts, optional cash windows, and termination rights. The output is a redline-ready precedent set used to draft a new S-3D or to update an issuer's existing plan prospectus before filing.
Equity and corporate-actions analysts join successive S-3D and S-3D/A records by entities[].fileNo (the 333-prefix registration number) and read share counts from the cover page or EX-FILING FEES exhibit. The resulting time series shows when an issuer exhausts a DRIP pool and files an amendment to replenish it, supporting features such as registered-but-unissued capacity and average time between top-ups.
Researchers extract metadata.json fields (accessionNo, filedAt, entities[].cik, sic, stateOfIncorporation) and parse the prospectus body for plan attributes (discount rate, fees passed to participants, fractional-share treatment, dividend pricing date). The output is a multi-decade panel covering DRIP prevalence and plan-design evolution since 1994, joined to 10-K data via CIK.
RegTech vendors and audit-quality researchers index EX-5.1 and EX-23.1 documents by counsel firm and accounting firm name to track the legal-opinion and auditor-consent populations across S-3D filings. This drives template libraries for automated drafting and supports panels on auditor turnover for DRIP issuers across consecutive registrations.
Filings-fee analytics workflows consume the Inline-XBRL EX-FILING FEES exhibit and the extracted instance referenced by linkToXbrl and dataFiles. Tagged values (ffd: facts for amount registered, maximum aggregate offering price, fee rate, fee paid) feed straight into fee-validation tooling and registered-capacity dashboards without parsing the prospectus body.
Document-AI teams use the corpus as a narrow, templated training set: the SGML <DOCUMENT> envelope plus documentFormatFiles[].type give clean labels for distinguishing the S-3D body from EX-5.1, EX-23.1, and EX-FILING FEES. The records support fine-tuning DRIP-vs.-general-S-3 classifiers and training span extractors for plan terms, share counts, and signature blocks.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-s3d-files.json
This endpoint returns the dataset metadata, the full dataset download URL, and the list of all available container files. Per-container metadata includes the file key, size, record count, last updated timestamp, and a direct download URL. Polling this endpoint is the recommended way to monitor which containers were modified in the most recent refresh run and to decide which containers to download incrementally. This endpoint does not require an API key.
Example response:
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{
2
"datasetId": "1f13365b-9ae0-69b5-b2d4-1184ea3cae8e",
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"datasetDownloadUrl": "https:/api.sec-api.io/datasets/form-s3d-files.zip",
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"name": "Form S-3D Files Dataset",
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"updatedAt": "2026-05-05T02:49:21.032Z",
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"earliestSampleDate": "1994-01-01",
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"totalRecords": 2841,
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"totalSize": 25310749,
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"formTypes": ["S-3D", "S-3D/A"],
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"containerFormat": "ZIP",
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"fileTypes": ["TXT", "JSON", "HTML", "PDF"],
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"containers": [
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{
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"downloadUrl": "https:/api.sec-api.io/datasets/form-s3d-files/2026/2026-05.zip",
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"key": "2026/2026-05.zip",
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"size": 1048576,
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"records": 12,
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"updatedAt": "2026-05-05T02:49:21.032Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-s3d-files.zip?token=YOUR_API_KEY
Use this URL to download the complete dataset archive containing all Form S-3D and Form S-3D/A filings from January 1994 to the latest refresh. This endpoint requires an API key.
Download Single Container: https://api.sec-api.io/datasets/form-s3d-files/2026/2026-05.zip?token=YOUR_API_KEY
Use this URL pattern to download a single monthly container instead of the full archive. Substitute the year and month segments with any container key returned by the dataset index JSON API. This endpoint requires an API key.
The dataset covers Form S-3D, the dividend or interest reinvestment plan variant of the short-form Form S-3 registration statement under the Securities Act of 1933, and Form S-3D/A, its amendment counterpart. Both are filed under General Instruction III of Form S-3 and become effective automatically upon filing.
Each record is a single EDGAR submission of either a Form S-3D or Form S-3D/A, packaged as a self-contained folder named after the 18-digit accession number with no dashes. The folder contains a metadata.json describing the submission and the verbatim source documents — the registration statement, every textual exhibit, and the full SGML complete-submission text file.
The filer is the issuer of the securities — a domestic Exchange Act reporting issuer eligible to use Form S-3 under General Instruction I.A., registering securities offered "pursuant to a dividend or interest reinvestment plan" under General Instruction I.B.4. Typical filers include domestic operating companies, bank holding companies, utilities, REITs, business development companies, and closed-end funds. The plan, plan administrator, and transfer agent are not the registrant.
Both forms register plan-issued securities and become effective automatically on filing, but their participant bases and plan economics do not overlap. Form S-8 covers securities offered to employees, directors, and consultants under stock option, ESPP, 401(k), and other compensation plans. Form S-3D covers securities offered to existing shareholders or noteholders electing to reinvest dividends or interest into additional issuer securities.
Filings are not periodic. They are added when issuers submit them, driven by plan economics rather than a fiscal calendar — typically at plan inception, when an existing registered share pool nears exhaustion and needs replenishing, after a corporate reorganization establishes a successor issuer, or when material plan amendments require a fresh registration.
The dataset's earliest records are dated 1994-01-01, reflecting the 1993–1996 phase-in of mandatory EDGAR filing, and coverage continues through the latest refresh.
The dataset is distributed in ZIP containers. Inside each record folder, the file types are TXT, JSON, HTML/HTM, XHTML, and occasional PDF, with HTM/HTML the dominant body format for modern filings. Image binaries referenced by GRAPHIC entries in documentFormatFiles are excluded by design, though their metadata is preserved.