The Form U-13E-1 Files Dataset is a closed historical archive of every EDGAR submission accepted under the legacy form code U-13E-1, a code that the SEC used during its Public Utility Holding Company Act of 1935 (PUHCA) program and that EDGAR also conflated with certain Rule 13e-1 issuer self-tender statements before the dedicated SC 13E1 code was adopted. One record corresponds to a single accession-numbered submission, materialized as a folder containing one metadata.json filing-header object and one or more document-<sequence>.txt body files. The nominal filer is a mutual or subsidiary service company inside a registered holding-company system reporting under PUHCA Section 13 and Rule 88, but the dataset's actual contents include at least one Rule 13e-1 issuer transaction statement filed by a real-estate limited partnership under the same legacy code. Coverage runs from August 1998 through the form's regulatory end-of-life in February 2006, when the Energy Policy Act of 2005 repealed PUHCA 1935 and discontinued the form. The dataset is distributed as monthly ZIP containers organized as YYYY/YYYY-MM.zip, and only those months that actually carry a U-13E-1 accession produce a container.
Programmatically retrieve the full list of dataset archive files, download URLs and dataset metadata.
Dataset Index JSON API
Download the entire dataset as a single archive file.
Download Entire Dataset:
Download a single container file (e.g. monthly archive) from the dataset.
Download Single Container:
The dataset packages every EDGAR submission carrying the form code U-13E-1 across the entire period the code was in active use on EDGAR. It is bounded above by the form's discontinuation effective February 8, 2006, the date PUHCA 1935 was repealed by Title XII, Subtitle F of the Energy Policy Act of 2005 ("PUHCA 2005"). Holding-company oversight transferred to the Federal Energy Regulatory Commission under PUHCA 2005, the Section 13 obligation evaporated, and no genuine PUHCA service-company filing of this type appears in EDGAR after that date. Paper PUHCA filings from the late 1930s onward are not in the electronic dataset.
Although the dataset is named after the PUHCA Form U-13E-1 — the annual report required from mutual service companies and subsidiary service companies operating inside registered public utility holding-company systems — EDGAR's historical use of the form code U-13E-1 conflated two unrelated filings under the same code: PUHCA mutual/subsidiary service-company annual reports governed by the SEC's Uniform System of Accounts for Mutual and Subsidiary Service Companies, and Rule 13e-1 issuer transaction statements under Section 13(e)(1) of the Securities Exchange Act of 1934, which is the predecessor of the modern SC 13E1 code. Because both filing types were accepted under the EDGAR form code U-13E-1 during this window, a record-level body in this dataset can be either flavor; the formType field alone (always "U-13E-1") does not disambiguate the two, and pipelines that assume every record is a PUHCA service-company annual report will misclassify a non-trivial fraction of the four-record universe.
The form was filed exclusively in legacy ASCII text submissions throughout its EDGAR lifetime; HTML adoption never reached this form before discontinuation. Every document body in the dataset is plain ASCII with fixed-width formatting, and every record's structured layer is a single JSON object alongside one or more text documents. There is no format evolution to track inside the dataset window, and the record universe is closed and frozen by regulatory end-of-life.
One record is a single EDGAR submission accepted under the form code U-13E-1, identified by its accession number and materialized as one accession-numbered folder. Each folder contains one metadata.json describing the submission at the filing-header level and one or more document-<sequence>.txt files reproducing the textual documents that made up the original EDGAR submission.
Records are delivered as monthly ZIP containers organized as YYYY/YYYY-MM.zip. When unzipped, each container expands to a YYYY-MM/ root containing one subfolder per filing. The subfolder name is the 18-digit zero-padded accession number with the canonical dashes stripped (for example, 0000744786-98-000010 becomes 000074478698000010). Inside the accession folder, every record consists of:
metadata.json — structured filing-level metadata, always present.document-<sequence>.txt files — plain-text reproductions of each document in the original EDGAR submission, named by the document's numeric sequence index. A single-document filing yields just document-1.txt; multi-document filings yield document-1.txt, document-2.txt, and so on. Image attachments from the original submission are dropped by the dataset publisher; all non-image documents are retained as plain text.Because the universe is small, most year/month slots between August 1998 and February 2006 produce no container at all; only months that actually carry a U-13E-1 accession are present.
A PUHCA Form U-13E-1 was the annual report required from mutual service companies and subsidiary service companies inside registered holding-company systems. Its disclosure architecture was anchored to the Uniform System of Accounts for Mutual and Subsidiary Service Companies, a chart-of-accounts framework that fixed the account structure, the cost-allocation rules, and the capital-compensation accounting (interest billed for equity and borrowed capital) that those service entities had to follow. A typical filing was a narrative-plus-financial-statements document organized around a fixed set of components, in roughly this order:
Rule 13e-1 statements under Section 13(e) of the Exchange Act are an entirely different document. They are short, item-numbered statements filed by issuers in connection with proposed purchases of their own equity securities during a third-party tender offer. Internal structure typically consists of:
SECURITIES AND EXCHANGE COMMISSION heading, the legend RULE 13e-1 TRANSACTION STATEMENT PURSUANT TO SECTION 13(e)(1), and identification of the issuer, the class of securities subject to the proposed purchases, the CUSIP (often NOT APPLICABLE for partnership units), the authorized representative's name, address, and telephone, and copies-to counsel.CALCULATION OF FILING FEE table giving the transaction valuation and the corresponding fee, with footnote citations to Rule 0-11(b) (the 1/50 of 1% computation) carried as inline <F1>/<F2> markers.The migration of Rule 13e-1 statements to a distinct SC 13E1 code came later, which is why some records' description already spells out "Form SC 13E1" even while formType reads "U-13E-1".
The metadata file is a single flat JSON object describing the submission at the filing-header level. The fields carry the following content:
formType — always "U-13E-1" in this dataset; does not distinguish PUHCA annual reports from Rule 13e-1 transaction statements (see conflation note above).accessionNo — the EDGAR accession number in canonical dashed form (e.g. "0000744786-98-000010"); the folder name is the same value with dashes removed.description — the human-readable filing description recorded in EDGAR. This is the primary disambiguator between the two flavors of U-13E-1. For a Rule 13e-1 issuer statement it reads "Form SC 13E1 - Statement of issuer required by Rule 13e-1"; a PUHCA annual report carries a description tied to the service-company report.filedAt — filing acceptance timestamp as ISO-8601 with offset (e.g. "1998-08-26T00:00:00-04:00").linkToFilingDetails — URL to the EDGAR archive folder for the accession.linkToTxt — URL to the complete-submission .txt file on SEC.gov.linkToHtml — URL to the EDGAR -index.htm page.linkToXbrl — empty string; Form U-13E-1 was never an XBRL-tagged form.id — opaque hex record identifier.documentFormatFiles — array describing each document attached to the submission. Each entry carries sequence (string; sometimes a single space character for the synthetic complete-submission entry), size (byte count as a string), documentUrl, description, and type. The primary document carries type: "U-13E-1"; a synthetic trailing entry with empty sequence and type represents the complete-submission text file.entities — array of party objects describing the filer and any subject companies. Each object can carry cik, companyName with a parenthetical role suffix such as (Filed by) or (Subject), irsNo, sic (combined numeric code and human-readable industry label, e.g. "6500 Real Estate"), stateOfIncorporation, fiscalYearEnd in MMDD form, fileNo, filmNo, act (the statute under which the filing is made), and type. The same CIK may appear more than once with different role suffixes when an entity is simultaneously the filer and the subject.seriesAndClassesContractsInformation — array reserved for investment-company series/class metadata; empty for these filings.dataFiles — array reserved for structured data attachments; empty for this dataset.document-<n>.txt — body contentEach document-<sequence>.txt reproduces the body of one document from the original EDGAR submission as plain ASCII, with the outer SGML <DOCUMENT>...<TYPE>...<TEXT>...</DOCUMENT> wrapper that bracketed it in the raw submission stripped away. Inline pseudo-SGML markers placed inside the body by the filer — most commonly footnote anchors like <F1>, <F2>, and </FN> — are preserved verbatim because they are part of the filer's text. Bodies are fixed-width ASCII with manual line breaks, ALL-CAPS section headings, and EDGAR-era formatting artifacts such as a leading run of blank lines.
For a PUHCA Form U-13E-1 annual report, document-1.txt is the principal report body, and any additional document-N.txt files typically carry exhibits, financial-statement schedules, or auditor reports. The body content tracks the Uniform System of Accounts for Mutual and Subsidiary Service Companies and walks through the organization description, organization chart, financial statements, schedules of services rendered to associate client companies, cost-allocation methodology, the interest-billed statement for equity and borrowed-capital compensation, and the signature block in roughly that order.
For a Rule 13e-1 issuer transaction statement filed under the same form code, document-1.txt is the short item-numbered statement: SEC heading block and Rule 13e-1 legend, issuer and securities identification, the calculation-of-filing-fee table with <F1>/<F2> footnotes pointing to Rule 0-11(b), items 1-3 narrating the proposed purchase, rationale, and funding source, and a dated officer signature.
A complete record bundles two layers:
metadata.json filing header — form code, accession number, filing description, filing timestamp, archive URLs, per-document descriptors, and entity-level identifiers (CIK, IRS number, SIC code with industry label, state of incorporation, fiscal year end, file number, film number, statute, and entity type).document-<sequence>.txt files, one per non-image document in the original submission, with their original ASCII formatting and inline footnote markers preserved.document-N.* files.<DOCUMENT> wrapper is stripped from each document file; only the body remains..txt file on EDGAR (the concatenated single-file form of the entire submission) is not materialized inside the record; it is only referenced from metadata.json via linkToTxt and via a synthetic trailing entry inside documentFormatFiles.linkToXbrl is an empty string and dataFiles is an empty array across the dataset, because the form never carried XBRL.seriesAndClassesContractsInformation is uniformly empty.accessionNo by stripping dashes — the folder uses the 18-digit dash-less form while metadata.json carries the canonical dashed form.documentFormatFiles[].sequence is a string, sometimes a single space character for the synthetic complete-submission entry; treat it as opaque rather than coercing to an integer.documentFormatFiles[].size is a string of bytes; cast to integer for numeric comparisons.entities[] may list the same CIK twice with different role suffixes ((Filed by) versus (Subject)); deduplicate on cik if a unique party set is needed.description field, supplemented by the filing entity's sic (utility-system service companies versus unrelated industries such as real estate) and a quick scan of document-1.txt for the Rule 13e-1 title block versus a Uniform-System-of-Accounts narrative.<F1>, </FN>, etc.) inside the document text are part of the filer's content, not extraction artifacts; preserve them or interpret them as footnote anchors when parsing.Because the EDGAR form code U-13E-1 covered two unrelated regimes during this window, the filer population, the regulatory trigger, and the timing model differ depending on which regime a given record belongs to. The PUHCA service-company regime is the form's nominal subject; the Rule 13e-1 issuer self-tender regime is the de facto co-occupant of the code.
In its canonical PUHCA sense, a U-13E-1 submission is an annual report by a mutual or subsidiary service company operating inside a registered holding-company system, covering one fiscal year of intra-system service activity, cost allocation, capital structure, and affiliate dealings. The filer is the service-company affiliate itself, not its parent holding company and not the operating utilities it serves. Two filer classes:
Both classes existed only because PUHCA forced centralized functions (engineering, accounting, procurement, IT, legal, executive management) through cost-allocating affiliates rather than informal cross-utility billing. The reporting population does not include the top-tier registered holding company (which filed Form U5S), operating utility subsidiaries (regulated by state PUCs and FERC under the Federal Power Act), or exempt holding companies under former PUHCA Section 3 and any service entities inside exempt or non-registered systems.
The PUHCA obligation arose under the Public Utility Holding Company Act of 1935, Section 13, which governed service, sales, and construction contracts among associate companies. The implementing rule was Rule 88, requiring mutual and subsidiary service companies to file annual reports on Form U-13E-1. Service companies kept their books under the Uniform System of Accounts for Mutual Service Companies and Subsidiary Service Companies at 17 CFR Part 256. Form U-13E-1 surfaced those books to the SEC alongside the broader Holding Company Act forms suite:
The PUHCA trigger is purely periodic: one report per service company per fiscal year, due after fiscal-year-end, covering operations, intercompany billings, cost pools, allocations to associates, balance sheet, and personnel. There is no event-driven branch. Filings continue until the system deregisters, the service company dissolves, or the regime is repealed.
PUHCA 1935 was repealed by Title XII, Subtitle F of the Energy Policy Act of 2005 (the "Public Utility Holding Company Act of 2005"), effective February 8, 2006. Holding-company oversight transferred to the FERC under PUHCA 2005, which relies on books-and-records access rather than SEC pre-clearance. With Section 13 gone, the U-13E-1 obligation evaporated and the SEC discontinued the form in February 2006. No PUHCA-sense U-13E-1 filing can arise after that date.
EDGAR's historical U-13E-1 form code captured two unrelated regimes that share only a similar string. Alongside the PUHCA service-company annual report, the same code captured Rule 13e-1 statements under Section 13(e)(1) of the Securities Exchange Act of 1934 and Rule 13e-1, required when an Exchange Act reporting issuer purchases its own equity securities while a third-party tender offer for those securities is outstanding. Rule 13e-1 filers are the target issuers of third-party tender offers, not utility entities. The trigger is transactional: a third-party bid is outstanding and the issuer intends to repurchase its own shares during that window. EDGAR later split this regime onto the dedicated form code SC 13E1 (and amendment variants), but during portions of the late 1990s and early 2000s some filings of this character were tagged U-13E-1.
Records labeled U-13E-1 may therefore belong to either regime. Interpretation should branch on:
The form-type field alone is not sufficient to determine the regime.
Form U-13E-1 sits at the intersection of three distinct regulatory regimes that share confusingly similar form-code labels: the Public Utility Holding Company Act of 1935 (PUHCA 1935), the Exchange Act tender offer rules under Section 13(e), and the post-repeal PUHCA 2005 administered by FERC. The closest comparison points fall into four groups: other PUHCA 1935 service-company and holding-company filings, transactional PUHCA filings, Exchange Act tender offer schedules historically conflated with U-13E-1 in EDGAR, and the post-2006 FERC successor.
The parent-level annual report filed by registered holding companies covering consolidated structure, financing, and intra-system transactions of the entire system. Same regime (PUHCA 1935) and same annual cadence as U-13E-1, but a different filer level: U5S looks down from the top of the corporate pyramid, while U-13E-1 reports on a single mutual or Rule 88 subsidiary service company inside that pyramid. The two are complementary, not substitutable: U5S shows which service entities exist and how costs flow up; U-13E-1 shows how those entities pool and allocate costs internally.
The closest sibling. U-13-60 was the standard long-form annual report for service companies in registered holding-company systems; U-13E-1 was the narrower form used by mutual service companies and certain subsidiary service companies qualifying for Rule 88 exemptive treatment (at-cost operation and ownership conditions). Same subject matter and same regime, but different reporting tracks for different filer subsets. U-13-60 covers the broader population with deeper schedules; U-13E-1 covers only the Rule 88 subset and is correspondingly thin. Most service-company annual reports were filed on U-13-60, which is one reason the U-13E-1 dataset is so small.
Same regulatory regime, but transactional rather than periodic. U-1 was filed prospectively to obtain SEC approval for a specific corporate action, financing, acquisition, or service arrangement under PUHCA 1935. U-13E-1 is retrospective and operational. U-1 supports case-level analysis of SEC oversight decisions; U-13E-1 supports analysis of ongoing service-company economics. Different stages of the same machinery.
The most important boundary to understand. SC 13E1 is an Exchange Act schedule filed by an issuer purchasing its own securities during a tender offer under Rule 13e-1. It has no connection to PUHCA, holding companies, or service entities. EDGAR's legacy form-code system conflated the two because both shared the literal token "13E-1," and Rule 13e-1 self-tender filings sometimes appeared under the legacy U-13E-1 code before being separated into the modern SC 13E1 code. The U-13E-1 dataset's intended scope is PUHCA 1935 service-company filings, but its actual contents include at least one Rule 13e-1 issuer self-tender that was tagged with the legacy code. A naive search on "13E-1" returns a mixture of the two and must be split by underlying authority before any analysis.
The broader Williams Act tender offer family (third-party tender offers and going-private transactions) of which SC 13E1 is a relative. Listed only to mark the boundary: none has any connection to PUHCA 1935 or service-company reporting. Users searching for "13E" filings routinely encounter all of them and may mistakenly group U-13E-1 with the tender offer family. The substantive content (offer terms, beneficial ownership, fairness opinions) bears no resemblance to U-13E-1's service-company financial schedules. (Schedule TO and Schedule 13E-3 are the formal references.)
When the Energy Policy Act of 2005 repealed PUHCA 1935 effective February 2006, oversight of service companies migrated to FERC under PUHCA 2005. FERC Form 60 is the annual report for centralized service companies in holding-company systems and is the functional successor to U-13-60 and U-13E-1 combined. Same subject matter (service-company finances and inter-affiliate cost allocations), but different regulator (FERC, not SEC), different filing system (FERC eLibrary, not EDGAR), and different statutory framework (PUHCA 2005, not PUHCA 1935). For continuity research across the 2006 transition, FERC Form 60 is the natural extension of U-13E-1 data, but it is not an SEC dataset and must be sourced separately.
Listed only as a contrast. 10-K is a general-purpose investor disclosure document filed under Sections 13 or 15(d) of the Exchange Act, with MD&A, audited financials, risk factors, and business description. U-13E-1 was a narrow PUHCA 1935 regulatory schedule on intra-system service economics, often filed by entities that were not themselves public reporting companies. The two share only the abstract concept of "annual filing."
The U-13E-1 dataset is distinct because it sits at a triple intersection: the filer must have been a mutual or Rule 88 subsidiary service company, inside a registered holding-company system, under PUHCA 1935, before the regime ended in February 2006. That narrow filer universe explains the small size; the count is further compressed because most service-company annual reports were filed on U-13-60 rather than U-13E-1, and because the legacy EDGAR U-13E-1 code was historically shared with Rule 13e-1 issuer self-tender filings before being split into the modern SC 13E1 code. Treat this as a closed historical archive of a specific PUHCA 1935 subset, not as a continuing series and not as part of the tender offer family. For continuing service-company analysis, FERC Form 60 is the post-2006 successor; for parent-level holding-company reporting, U5S is the companion; for transactional PUHCA approvals, U-1 is the source; and for Rule 13e-1 self-tender disclosures sharing only a code label, SC 13E1 is a separate dataset that should never be merged with this one.
This is a closed historical archive whose users are research-oriented and treat the records as primary evidence for the pre-2006 service-company regime. The dataset does not support monitoring or quantitative work; instead, six distinct user groups draw on the structured filing-header layer in metadata.json and the textual body in document-N.txt for archival, comparative, and forensic purposes.
Analysts comparing the SEC's PUHCA-era oversight to the current FERC Form 60 regime use these filings as the benchmark for the prior framework. They pull the schedules of services rendered, allocation methodology narratives, and interest-billed statements from document-N.txt to map how legacy cost categories, allocation drivers, and intra-system billing conventions translate into FERC Form 60 cost categories. Output: comparison memos, regulatory comment letters, and witness exhibits in cost-allocation proceedings.
Academic researchers in energy law and regulated industries use the filings as primary documents on how registered holding-company systems organized mutual and subsidiary service companies in the final years of the 1935 Act. They read the organization charts, capital-structure disclosures, and schedules of services rendered in document-N.txt; the metadata.json entity rows (CIK, SIC) link the service company to its parent and operating affiliates. Output: journal articles, book chapters, and casebook material on PUHCA and the 2005 repeal.
Expert witnesses in pre-2006 rate cases, prudence reviews, and affiliate-transaction disputes prefer contemporaneous filings to reconstructed estimates. The financial statements, schedules of services rendered, allocation methodology descriptions, and interest-billed statements in document-N.txt give them filed numbers usable as the actual cost basis at the time, tied to the filer through metadata.json CIK. Output: expert reports, deposition exhibits, and rebuttal schedules grounded in primary filings.
A narrow but practical group disambiguates filings caught by legacy form codes. EDGAR's historical U-13E-1 code is easily confused with Rule 13e-1 issuer self-tender statements (now SC 13E1), and form-code searches sometimes conflate the two. Forensics teams use this dataset as the authoritative bounded set of true PUHCA service-company reports, using metadata.json form-type and CIK plus a quick check of document-N.txt to filter, exclude, or correctly route the records in filing-history workflows and compliance archives.
Researchers reconstructing affiliated service-entity structures use the filings to map how a holding-company system organized internal services before repeal. This matters when tracing present-day subsidiaries through pre-2006 mergers, divestitures, or restructurings. Organization charts and schedules of services rendered in document-N.txt, combined with metadata.json entity rows, supply the structural picture; capital-structure disclosures show how the service company was financed by its affiliates. Output: corporate genealogies and diligence memos on legacy systems.
Forensic accountants working on legacy disputes, tax matters, and successor-liability questions use the U-13E-1 financial statements as a benchmark prepared under the SEC's Uniform System of Accounts for Mutual and Subsidiary Service Companies. The uniform chart of accounts gives them a normalized baseline against which internal records, intercompany invoices, and affiliate billings can be tested. They focus on the balance sheet, income statement, schedules of services rendered, and interest-billed statements in document-N.txt, anchored to the filer via metadata.json. Output: forensic reports and expert opinions reconciling or challenging legacy intra-system charges.
For all six groups, metadata.json entity rows establish identity and corporate linkage, while document-N.txt supplies the organization charts, financial statements, schedules of services rendered, allocation methodology, and interest-billed statements that make the filings usable as primary evidence on the pre-2006 service-company regime.
The use cases below are correspondingly narrow, archival, and qualitative, reflecting both the small bounded universe of U-13E-1-tagged accessions and the fact that at least one record is a Rule 13e-1 issuer self-tender statement filed under the same legacy EDGAR code rather than a true PUHCA service-company annual report.
Energy regulatory analysts use the schedules of services rendered, the cost-allocation methodology narrative, and the interest-billed statement inside document-1.txt to build a crosswalk between the SEC's Uniform System of Accounts for Mutual and Subsidiary Service Companies and the post-2006 FERC Form 60 chart of accounts. The output is a category-by-category mapping table used as an exhibit in cost-allocation proceedings and in regulatory comment letters on inter-affiliate billing rules.
U-13E-1 form code in EDGAR pipelinesEDGAR forensics teams and securities lawyers use this dataset as the authoritative bounded set of accessions filed under the legacy U-13E-1 code so that filing-history pipelines can correctly split true PUHCA service-company annual reports from Rule 13e-1 issuer self-tender statements that were swept under the same code before SC 13E1 was introduced. The disambiguation routine branches on metadata.json.description (e.g. "Form SC 13E1 - Statement of issuer required by Rule 13e-1"), the filer's sic label, and a title-block scan of document-1.txt for the Rule 13e-1 legend versus a Uniform-System-of-Accounts narrative.
Diligence teams tracing present-day subsidiaries back through pre-repeal restructurings extract the organization description, organization chart, and schedules of services rendered to associate client companies from document-1.txt, then join the metadata.json entities array (CIK, IRS number, SIC, state of incorporation) to the filer's modern corporate parent. The resulting affiliate map is used as a diligence exhibit when tracking which service functions migrated into which surviving entities after PUHCA's repeal.
Expert witnesses in legacy rate cases, prudence reviews, and affiliate-transaction disputes pull the balance sheet, income statement, schedules of services rendered, allocation factors, and interest-billed-on-equity-and-borrowed-capital statement from document-1.txt (and any exhibit files in document-2.txt+) to use as the contemporaneous filed cost basis rather than reconstructed estimates. These figures, tied to the filer by metadata.json.accessionNo and CIK, become rebuttal schedules and deposition exhibits.
Energy law and regulatory-history researchers cite specific filings from this closed window as documentary evidence of how the Rule 88 subset of mutual and subsidiary service companies actually reported in the final years of PUHCA 1935. They quote the organization description, capital-structure disclosure, and signature block from document-1.txt, anchoring each citation by accessionNo and filedAt, in journal articles and casebook chapters on the 2005 repeal and the FERC transition.
Forensic accountants working on legacy successor-liability and tax matters use the Uniform-System-of-Accounts financial statements and schedules of services rendered in document-1.txt as a normalized baseline against which internal ledgers, intercompany invoices, and affiliate billing records can be tested. The filed allocation factors and interest-billed amounts give a reference set for challenging or confirming intra-system charges that pre-date the FERC Form 60 era.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-u13e1-files.json
This endpoint returns the dataset's metadata, including its name, description, last updated timestamp, earliest sample date, total record count, total size in bytes, covered form types, container format (ZIP), and content file types (TXT, JSON). It also returns the full dataset download URL and a containers array listing each individual container file with its key, size, record count, updated timestamp, and download URL. Polling this endpoint is the recommended way to detect which containers were refreshed in the most recent run, so a downstream pipeline can decide which containers to re-download. The endpoint does not require an API key.
Example response:
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{
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"datasetId": "1f13365b-9ae0-6a89-94ac-8a45cc73af3b",
3
"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-u13e1-files.zip",
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"name": "Form U-13E-1 Files Dataset",
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"updatedAt": "2026-05-08T02:51:19.000Z",
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"earliestSampleDate": "2003-04-01",
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"totalRecords": 4,
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"totalSize": 67878,
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"formTypes": ["U-13E-1"],
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"containerFormat": "ZIP",
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"fileTypes": ["TXT", "JSON"],
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"containers": [
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{
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"downloadUrl": "https://api.sec-api.io/datasets/form-u13e1-files/2003/2003-04.zip",
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"key": "2003/2003-04.zip",
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"size": 22612,
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"records": 2,
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"updatedAt": "2026-05-08T02:51:19.000Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-u13e1-files.zip?token=YOUR_API_KEY
Downloads the complete dataset as a single ZIP archive. Because the entire dataset is very small and contains only a handful of records across a few monthly ZIP containers, most users will simply pull the full archive in one request rather than iterate per container. This endpoint requires an API key, attached to the request as documented at sec-api.io.
Download Single Container: https://api.sec-api.io/datasets/form-u13e1-files/2003/2003-04.zip?token=YOUR_API_KEY
Downloads one individual monthly container referenced by the key field of a containers entry. Use this when you only need a specific month rather than the whole archive. This endpoint requires an API key.
The dataset covers every EDGAR submission tagged with the legacy form code U-13E-1. That code was used both for PUHCA Form U-13E-1 — the annual report from mutual and subsidiary service companies inside registered public utility holding-company systems under Section 13 of the Public Utility Holding Company Act of 1935 and Rule 88 — and, by EDGAR convention during this window, for some Rule 13e-1 issuer self-tender statements under Section 13(e)(1) of the Securities Exchange Act of 1934 that were later migrated to the dedicated SC 13E1 code.
One record is a single EDGAR submission accepted under the form code U-13E-1, identified by its accession number and materialized as one accession-numbered folder. Each folder contains exactly one metadata.json filing-header object and one or more document-<sequence>.txt plain-text reproductions of the documents that made up the original submission, with the outer SGML <DOCUMENT> wrappers stripped and image attachments dropped.
EDGAR's historical U-13E-1 code conflated two unrelated regimes that share only the literal token "13E-1." At least one record in the dataset is a Rule 13e-1 issuer self-tender statement (filed by a real-estate limited partnership) rather than a PUHCA service-company annual report. The formType field is always "U-13E-1" and does not disambiguate the two; the most reliable disambiguator is the description field, supplemented by the filer's sic label and a quick scan of document-1.txt for the Rule 13e-1 legend versus a Uniform-System-of-Accounts narrative.
In its PUHCA sense, the filer is the service company itself — a mutual service company or a Rule 88 subsidiary service company operating inside a registered holding-company system. The top-tier registered holding company filed Form U5S separately; operating utility subsidiaries, exempt holding companies under former PUHCA Section 3, and any service entities inside exempt or non-registered systems were outside the regime. Rule 13e-1 filers, where their statements were swept under the same legacy code, are the target issuers of third-party tender offers, not utility entities.
EDGAR coverage in this dataset begins August 1, 1998 and is bounded above by the form's discontinuation in February 2006, when the Energy Policy Act of 2005 repealed PUHCA 1935 and transferred holding-company oversight to the Federal Energy Regulatory Commission. Paper PUHCA filings going back to the late 1930s are not in the electronic dataset, and no PUHCA-sense U-13E-1 filing can arise after February 2006.
The dataset is distributed as monthly ZIP containers organized as YYYY/YYYY-MM.zip. Each container expands to a YYYY-MM/ root with one subfolder per filing, named by the dash-stripped 18-digit accession number. Inside each accession folder, structured filing-header data lives in metadata.json (single flat JSON object) and document bodies live in document-<sequence>.txt files (plain ASCII, fixed-width formatting). The form was filed exclusively in legacy ASCII text submissions throughout its EDGAR lifetime; HTML adoption never reached this form before discontinuation, and linkToXbrl is empty across the dataset because U-13E-1 was never an XBRL-tagged form.
FERC Form 60 is the post-2006 successor for centralized service-company reporting under PUHCA 2005; it covers the same subject matter (service-company finances and inter-affiliate cost allocations) but is filed with FERC rather than the SEC, lives in FERC eLibrary rather than EDGAR, and operates under PUHCA 2005 rather than PUHCA 1935. SC 13E1 is the modern Exchange Act schedule for Rule 13e-1 issuer self-tender statements and shares only the literal "13E-1" token with the PUHCA form; it has no connection to PUHCA, holding companies, or service entities and should never be merged with this dataset.