The Form U-33-S Files Dataset is the complete EDGAR-era archive of Form U-33-S and Form U-33-S/A annual reports — the "Annual Report Concerning Foreign Utility Companies" filed under Section 33(e) of the Public Utility Holding Company Act of 1935 (PUHCA). One record is a single accepted filing identified by its EDGAR accession number, packaging the original submission documents alongside a structured metadata.json descriptor. The filers are U.S. holding-company systems registered under PUHCA (and their subsidiaries or affiliates) that held interests in foreign utility companies ("FUCOs") during the reporting year. The dataset covers filings from April 1996 through February 2006, terminating when PUHCA itself was repealed by Title XII, Subtitle F of the Energy Policy Act of 2005, effective February 8, 2006, after which no further U-33-S filings could arise.
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The dataset is the full population of EDGAR-accepted Form U-33-S and Form U-33-S/A submissions across the life of the FUCO reporting regime. Each filing is a short, narrowly prescribed PUHCA annual report disclosing the registered holding-company system's interests in foreign utility companies: the FUCOs themselves, the foreign electric generation, transmission, and distribution facilities (and natural-gas operations) conducted through them, certain recourse-debt and guarantee exposures from system companies to FUCO obligations, and certain intra-system service, sales, and construction contracts. An organizational diagram filed as Exhibit A makes the ownership chain from the registered parent down to each FUCO explicit.
Records are distributed as monthly ZIP containers under the path layout {YYYY}/{YYYY-MM}.zip. Extracting a monthly ZIP yields a YYYY-MM/ directory whose children are the accession folders for filings accepted by EDGAR that month. Original submission documents are preserved (HTM/HTML form bodies, with occasional auxiliary HTML, TXT, or PDF components); image attachments are excluded. Each accession folder also carries a metadata.json descriptor that captures filer-entity identifiers, form type, filing dates, period of report, and document-level pointers. The form never carried XBRL, so no XBRL instance, schema, or data files exist in the corpus.
One record in this dataset is a single Form U-33-S or Form U-33-S/A filing as accepted by EDGAR, identified by its EDGAR accession number. A record materializes as one accession-number folder containing a metadata.json descriptor plus the original submission documents (most commonly an HTM/HTML form body, occasionally accompanied by TXT or PDF components), with image attachments excluded. The folder name is the 18-digit accession written without hyphens (for example 000104746904000390), while the canonical hyphenated form (0001047469-04-000390) is preserved inside metadata.json. The unit of analysis is the filing, not the individual item or exhibit: each annual report and each amendment is its own self-contained record.
Records are distributed as ZIP containers, one per filing month, under the path layout {YYYY}/{YYYY-MM}.zip. Extracting a monthly ZIP yields a YYYY-MM/ directory whose children are the accession folders for filings accepted by EDGAR that month. The dataset covers April 1996 through February 2006.
Form U-33-S is the "Annual Report Concerning Foreign Utility Companies" filed under Section 33(e) of the Public Utility Holding Company Act of 1935 (PUHCA). It is the disclosure vehicle by which a registered holding company, or a subsidiary or affiliate of one, reported its interests in foreign utility companies ("FUCOs") and described the foreign electric generation, transmission, and distribution facilities and natural-gas operations conducted through them. The form is short, narrowly prescribed by SEC instructions, and a mix of narrative paragraphs and small tables: it identifies each FUCO, the system company's interest in it, the facilities it owns or operates, certain recourse-debt and guarantee exposures of system companies to FUCO obligations, and certain intra-system contracts. An organizational diagram filed as Exhibit A makes the ownership chain from the registered holding company down to each FUCO explicit.
Form U-33-S/A is the amendment counterpart: a separately accessioned filing that supersedes or corrects portions of an earlier U-33-S. Amendments inherit the same item structure and the same envelope; they relate to the original through a shared registrant CIK and periodOfReport and a later filedAt, and they typically restate the prescribed items in full rather than emitting a textual diff.
Form U-33-S was active throughout the life of PUHCA's foreign-utility-company regime introduced by the Energy Policy Act of 1992 and ceased to be required when PUHCA itself was repealed by the Energy Policy Act of 2005, effective February 2006. The dataset closes in February 2006 for that reason.
A record is layered from outermost packaging to innermost disclosure as follows:
metadata.json — the structured descriptor of the filing.<DOCUMENT> envelope wrapping the inline HTML body that renders the prescribed Form U-33-S layout.metadata.json descriptormetadata.json is always present and carries the filing-level identifiers and pointers needed to interpret the document files. Its fields include:
formType — "U-33-S" or "U-33-S/A".accessionNo — the canonical hyphenated EDGAR accession number.description — the human-readable form description, typically "Form U-33-S - Annual report Concerning Foreign Utility Companies [Section 33(e)]".filedAt — ISO-8601 timestamp with timezone offset recording when EDGAR accepted the submission.periodOfReport — fiscal-period end date in YYYY-MM-DD form, identifying the annual reporting period the filing covers.linkToFilingDetails — URL of the primary document on sec.gov.linkToTxt — URL of the complete submission .txt on sec.gov.linkToHtml — URL of the EDGAR filing index page.linkToXbrl — empty string; U-33-S never carried XBRL.documentFormatFiles — array of objects describing each document of the original submission, with sequence, size, documentUrl, description, and type. The first entry is the form itself (type = U-33-S or U-33-S/A, sequence = 1); a trailing entry pointing to the complete submission text file typically appears with blank type and sequence.dataFiles — array, empty for this form (no XBRL data files exist).entities — array of filer-entity objects describing the registrant(s) associated with the filing. Each entity carries companyName (suffixed with a role label such as "(Filer)"), cik (zero-padded 10 digits), fileNo, filmNo, type, sic (standard industrial classification with its description, HTML-escaped), fiscalYearEnd (MMDD), and act (the statute under which the filing is made, "35" for PUHCA).id — an opaque 32-character hex hash uniquely identifying the record.Several behaviors warrant attention. SIC descriptions inside entities[].sic are HTML-escaped (for example "4900 Electric, Gas & Sanitary Services") and must be un-escaped for display. The documentFormatFiles array may reference the full .txt submission by URL even when the .txt itself is not stored on disk locally; only the components EDGAR delivered as separate documents are persisted, and image attachments are intentionally omitted. The folder name on disk uses the unhyphenated 18-digit accession while metadata.json preserves the canonical hyphenated form, so consumers joining filesystem paths to metadata records must normalize between the two representations.
When a holding-company system files on behalf of an affiliated U.S. utility, the entities array can carry multiple objects with distinct role suffixes, reflecting the practice of a parent or foreign affiliate reporting FUCO interests on behalf of a related registrant.
The primary form document is an HTM file whose contents begin with the EDGAR per-document SGML envelope and continue with an inline HTML body. The envelope preserves the document-level header fields from the submission .txt:
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<DOCUMENT>
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<TYPE>U-33-S
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<SEQUENCE>1
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<FILENAME>a2126102zu-33_s.htm
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<DESCRIPTION>FORM U-33-S
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<TEXT>
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<HTML>
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<HEAD>
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</HEAD>
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<BODY>
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... typesetter-prepared HTML body ...
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</BODY>
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</HTML>
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</TEXT>
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</DOCUMENT>
<TYPE> records the form type as filed (U-33-S or U-33-S/A), <SEQUENCE> orders the document within the submission, <FILENAME> is the EDGAR-assigned document filename (which is also the filesystem name inside the accession folder), and <DESCRIPTION> is the filer-supplied short label. The <TEXT> block contains the HTML rendering of the form.
Composition artifacts from the filer's typesetting pipeline are commonly embedded inside the HTML body as HTML comments — for example <!-- ZEQ.=1,SEQ=1,EFW="...",CP="...",DN="1",CHK=...,FOLIO='blank',FILE='DISK045:[04MTL3.04MTL1003]BE1003A.;3',USER='SSTALKE',CD=';8-JAN-2004;09:34' --> and <!-- THIS IS THE END OF A COMPOSITION COMPONENT -->. These are VMS-style file paths and user/timestamp annotations from the typesetting software used to assemble the EDGAR submission; they are not part of the disclosed content and should be stripped during text extraction.
Inside the HTML body, Form U-33-S follows a short prescribed sequence:
Cover/header block. Names the SEC as receiving authority, identifies the form as FORM U-33-S — ANNUAL REPORT CONCERNING FOREIGN UTILITY COMPANIES, cites Section 33(e) of PUHCA as the statutory basis, names the registered holding company or system company on whose behalf the report is filed (and the filing affiliate, where different), and gives the annual period covered.
Item 1 — Identification of each foreign utility company. A narrative-and-tabular enumeration of every FUCO in which a system company holds an interest as of the reporting date. For each FUCO, the disclosure typically gives the company name, the country and locality where it operates, the type and capacity of its facilities (megawatts of installed generation, kilometers of transmission line, distribution territory, or gas-system extent), the nature of its operations (generation, transmission, distribution, integrated, or gas), and the percentage or character of the system company's interest in it.
Item 2 — Recourse debt, guarantees, and other credit support. Discloses obligations of each FUCO that are recourse to any system company, including guarantees by system companies of FUCO securities, support agreements, keep-well undertakings, and other credit-enhancing instruments. Typically answered as a short narrative or a small tabular schedule listing the FUCO, the guaranteeing entity, the instrument type, and amounts outstanding.
Item 3 — Service, sales, and construction contracts. Describes contracts between any FUCO and the registered holding company or any of its subsidiaries — service contracts, sales contracts, construction agreements, and similar intra-system arrangements — identifying counterparties, contract subject matter, and term where applicable.
Exhibit A — Organizational chart. A diagram showing the ownership chain from the top-level registered holding company down through intermediate holding entities to each FUCO listed in Item 1. The chart is most often rendered in HTML as nested indented lines using padding and dash glyphs to simulate tree branches, because the underlying composition tools produced print-oriented output rather than vector graphics; some filings wrap the chart in an HTML <TABLE> for column alignment, and a small minority embed an image (excluded from the dataset, see Section 8).
Signature block. A /s/ line, frequently set inside an HTML <TABLE> for layout, giving the signer's printed name, title, and execution date. The signature certifies the report on behalf of the registrant identified in the header.
The form does not carry GAAP financial statements. Its financial content is limited to the narrative facility data, recourse-debt and guarantee amounts, and contract terms required by the three numbered items. There are no notes-to-financials, no MD&A, and no audit report.
Each record includes metadata.json and the original EDGAR submission documents other than images: the primary HTM form body in essentially every case, and, when the original submission contained them as distinct components, additional HTML, TXT, or PDF files. The file-types found in the dataset are TXT, JSON, HTML, and PDF. The HTM document preserves the EDGAR per-document SGML envelope and the full inline HTML body including any embedded composition comments.
Image files referenced by the original submission are excluded; where Exhibit A relied on an embedded image diagram, only any HTML rendering survives in the dataset and the image itself does not. The complete submission .txt file is referenced by linkToTxt and by an entry in documentFormatFiles but is not necessarily present on disk inside the accession folder; consumers wanting the full as-filed .txt should follow that URL. No XBRL instance or schema files exist for this form, and both linkToXbrl and dataFiles are correspondingly empty.
Amendments are filed as independent records with their own accession numbers and their own folders. They carry form type U-33-S/A in both formType and the document <TYPE> envelope, share the registrant CIK with the original, and ordinarily restate the entire prescribed item structure (header, Items 1–3, Exhibit A, signature) rather than presenting a marked diff. The periodOfReport of an amendment matches that of the underlying annual report it corrects, while filedAt reflects the later filing date. The dataset does not link amendments to their originals through an explicit pointer; reconstruction relies on matching CIK and periodOfReport across records.
Form U-33-S itself was governed by stable SEC instructions throughout its life. The prescribed items (FUCO identification, recourse debt, intra-system contracts, Exhibit A organizational chart) did not undergo material additions during the dataset's window. The form ceased to exist when PUHCA was repealed by the Energy Policy Act of 2005, and the dataset terminates in February 2006 as a consequence.
Presentation format shifted in the manner typical of EDGAR filings of that era. Early filings from 1996 and the years immediately following were predominantly ASCII text submissions wrapped in the SGML <DOCUMENT> envelope, with Exhibit A rendered as monospaced text art. As EDGAR enabled HTML submissions, filers transitioned to inline-HTML documents produced by typesetting software while retaining the SGML envelope around the HTML body. The VMS-style composition comments visible in later filings reflect this typesetter-assisted workflow. XBRL was never applicable to Form U-33-S.
Several details affect extraction and downstream use:
accessionNo inside the metadata is the canonical hyphenated form; normalize one to the other before joining filesystem paths to metadata records.entities[].sic; un-escape before display or comparison.<!-- ZEQ.=1,SEQ=1,EFW=... -->, <!-- THIS IS THE END OF A COMPOSITION COMPONENT -->) are artifacts of the filer's preparation pipeline and should be stripped during text extraction; they are not part of the disclosure.documentFormatFiles entries may carry blank type and sequence for the auxiliary complete-submission .txt entry; treat those as a pointer to the full as-filed package rather than as a distinct disclosure component.entities array reflects these multi-party relationships through role-suffixed companyName values. runs and ASCII tree glyphs rather than nested list elements.Form U-33-S is filed by a U.S. holding-company system entity registered under the Public Utility Holding Company Act of 1935 ("PUHCA 1935") that held a direct or indirect interest in one or more foreign utility companies ("FUCOs") during the reporting period. The filer population is:
The FUCO is the subject of the disclosure, not the filer. FUCOs are non-U.S. entities engaged in retail distribution of electric energy or gas, or in the generation, transmission, or distribution of electric energy outside the United States; they do not file Form U-33-S in their own name. Exempt holding companies (Section 3 of PUHCA 1935) and stand-alone domestic utilities outside any registered system are also not Form U-33-S filers.
Form U-33-S exists under Section 33(e) of PUHCA 1935. Section 33 was added by the Energy Policy Act of 1992 (Pub. L. 102-486), which created the FUCO category alongside the exempt wholesale generator ("EWG") category. Section 33 let registered holding companies acquire and retain FUCO interests without the Section 9 and 10 prior-approval and integration constraints, conditioned on ongoing SEC reporting.
Section 33(e) directed the SEC to require periodic reporting by registered holding companies with FUCO interests so the Commission could monitor the financial and operational impact of those foreign investments on the U.S. system. The SEC implemented that mandate through its PUHCA rules (17 CFR Part 250) and adopted Form U-33-S as the annual reporting vehicle. Filings arise under PUHCA, not under the Securities Act of 1933 or the Exchange Act of 1934, even where the same registrants also filed 10-K, 10-Q, and 8-K reports.
The regime terminated when Title XII, Subtitle F of the Energy Policy Act of 2005 repealed PUHCA 1935 effective February 8, 2006. After that date, the SEC stopped accepting Form U-33-S filings; broader holding-company oversight passed to FERC under the Public Utility Holding Company Act of 2005. The dataset's April 1996 to February 2006 window reflects the EDGAR-era life of the form, bounded on the front by electronic filing onset for FUCO reports and on the back by repeal.
Form U-33-S is a periodic annual report, not event-driven. The trigger is the close of a fiscal year during which any company in a registered holding-company system held a FUCO interest. Each such fiscal year produces one Form U-33-S obligation for the relevant registered system, covering identification of each FUCO, the system's interest in it, descriptions of generation, transmission, or distribution facilities, operational and financial data, and required exhibits.
The obligation recurs each year a FUCO interest is retained anywhere in the registered system. Full divestiture before year-end ends the obligation for later years; a new acquisition during a fiscal year brings the acquired FUCO into that year's filing.
Filing timing is governed by the SEC's PUHCA rules implementing Section 33(e), not Exchange Act deadlines. Form U-33-S was due following the close of the registered holding company's fiscal year, on a schedule aligned with the broader PUHCA annual reporting cadence for registered systems. In practice, due dates ran from each registrant's fiscal year-end. Late-period filings in the dataset cover fiscal year 2004 and partial-year 2005 disclosures filed before the February 2006 repeal took effect.
A Form U-33-S/A is an amendment to a previously filed Form U-33-S. The trigger is not periodic; it arises whenever the filer must correct, supplement, or restate information in an already-submitted annual report. Typical causes include corrected FUCO identifying information, revised financial data, updated facility descriptions, replacement or addition of required exhibits, or responses to SEC staff comments. Each U-33-S/A is tied conceptually to a prior U-33-S for the same registered system and reporting period, though it carries its own accession number.
Form U-33-S sits inside a narrow, now-defunct family of filings created under PUHCA. The most useful comparison targets are other PUHCA-era forms covering registered systems, foreign and wholesale exemption notifications, amendments to U-33-S itself, and the general-purpose Exchange Act annual reports that share filer population or "foreign" subject matter but cover entirely different content. U-33-S is the only periodic SEC disclosure dedicated to the foreign utility company (FUCO) interests of U.S. registered holding companies; the comparisons below show where adjacent datasets complement it and where they fail as substitutes.
U-5S is the principal annual report filed by registered holding companies under PUHCA, covering the entire registered system: parent, subsidiaries, service companies, and consolidated financials. It overlaps with U-33-S in filer population, annual cadence, and statutory regime; the same registrant often filed both in the same cycle.
The split is one of scope. U-5S documents the domestic system — utility subsidiaries, non-utility businesses, intra-system transactions, consolidated GAAP results. U-33-S is bounded to Section 33(e) FUCO interests: the foreign entities themselves, their generation, transmission, and distribution facilities, and the holding company's financial relationship to them. Use U-5S for system structure; use U-33-S for cross-border utility investments. They are complementary, never substitutable.
Form U-57 is the one-time, status-establishing notice filed under Section 33(a) demonstrating that a company qualifies as a FUCO (foreign location, primary utility purpose, foreign regulatory oversight). It is the gateway filing that triggers the downstream reporting obligation U-33-S satisfies.
The contrast is event versus periodic, qualifying versus operational. U-57 tells you which FUCOs exist and when status was claimed; U-33-S tells you what happened with them year over year — operations, facilities, and the U.S. system's financial interest. A complete FUCO lifecycle dataset requires both.
Form U-3A-2 is the annual statement filed by holding companies claiming Section 3(a) exemption from registration. It shares PUHCA statutory home, annual cadence, and post-2005 disappearance with U-33-S.
The split is filer population. U-3A-2 is filed by exempt (non-registered) holding companies to maintain exemption; U-33-S is filed by registered holding companies (and affiliates) reporting on FUCO interests. They sit on opposite sides of PUHCA registration and cover non-overlapping issuer populations.
U-13-1 covers the formation and operation of mutual and subsidiary service companies that perform centralized functions for affiliated utilities within a registered system. The only commonality with U-33-S is the PUHCA registered-system context.
U-13-1 is application-style (not periodic), focused on domestic intra-system service architecture and cost allocation. U-33-S is annual, FUCO-specific, and external-facing. U-13-1 describes how the registered system serves itself; U-33-S describes what the registered system owns abroad.
Exempt wholesale generator (EWG) status under Section 32 is the domestic counterpart to FUCO status under Section 33; both were added by the Energy Policy Act of 1992. The boundary is geographic and statutory. EWGs are wholesale generators (typically domestic); FUCOs are foreign-located utility operations. No EWG analogue to U-33-S exists in the same form family — Section 32 produces status notifications, not annual operational reports. EWG-related filings cannot answer cross-border investment questions.
U-33-S/A filings amend prior U-33-S submissions and are included alongside originals in this dataset. They share form structure and content but represent corrections, supplements, or restatements rather than initial disclosure. For a final reported position, treat the amendment as authoritative; the original preserves the as-first-reported view.
Most U.S. registered holding company parents filed both a 10-K and a U-33-S in the same fiscal year, and a 10-K may reference foreign utility investments in MD&A or segment narrative. The distinction is statutory purpose and granularity. 10-K is an Exchange Act investor-protection disclosure with consolidated GAAP financials and broad business narrative. U-33-S is a PUHCA compliance disclosure with entity-by-entity FUCO detail — specific facilities, operating characteristics, and the system's financial interest in each foreign entity. A 10-K confirms that foreign operations exist; U-33-S inventories them.
The overlap with U-33-S is superficial — only the word "foreign." Form 20-F is the Exchange Act annual report filed by a foreign private issuer about itself. U-33-S is filed by a U.S. registered holding company about its interests in foreign utility entities; the foreign entity is the subject, not the filer. A foreign utility that is also a U.S.-listed foreign private issuer might file its own 20-F while a U.S. holding company separately reports the same entity on U-33-S. Direction of disclosure, filer, and statutory basis all differ.
Form U-33-S is the only periodic SEC disclosure focused on a U.S. registered holding company system's interests in foreign utility companies — the FUCOs themselves, their generation/transmission/distribution facilities, and the system's financial relationship to them. No other form combines that filer, subject, and cadence: U-5S covers the domestic system, U-57 establishes initial FUCO status, U-3A-2 covers exempt holding companies, U-13-1 covers intra-system service entities, Section 32 covers domestic EWGs, 10-K covers issuer-level securities disclosure, and 20-F covers the foreign issuer's own reporting.
The dataset is also temporally closed: April 1996 through February 2006, ending at PUHCA repeal under the Energy Policy Act of 2005. No successor disclosure regime exists. For research on cross-border utility investment by U.S. registered holding company systems during the late-1990s and early-2000s deregulation era, U-33-S is the primary and largely irreplaceable record.
Form U-33-S is a closed archive. Its users work with it as a primary-source historical record rather than a live signal, drawing on entity identification, facility descriptions, financial data, exhibits, and U-33-S/A amendments.
They reconstruct US utility expansion abroad during the privatization era. Work centers on the FUCO identification sections, facility descriptions (installed capacity, fuel mix, transmission and distribution footprint), and reported revenues, assets, and system-company economic interest. Outputs include long-run datasets on US-controlled overseas generation capacity and country-level case studies.
Researchers and practitioners advising on legacy holding-company structures use the filings to interpret how Section 33 operated in practice. They focus on intermediate-entity ownership chains, corporate-authorization exhibits, and how registrants drew the line between FUCOs and exempt wholesale generators. Outputs include law review articles, treatise updates, and internal precedent files on PUHCA-era structures.
When a generation, transmission, or distribution asset has changed hands since the FUCO era, diligence teams trace prior US ownership through the entity sections, plant-level descriptions, percentage interests held by system companies, and successive U-33-S/A amendments. This supports title and ownership-history research, identification of legacy guarantees in exhibits, and dating of original acquisitions or divestitures.
Analysts studying the 1992 Energy Policy Act and the 2005 PUHCA repeal use the dataset as the empirical record of the intervening decade. Filing counts over time, geographic distribution of FUCO interests, and the range of facility types disclosed feed retrospective evaluations of whether the 1992 reforms produced the expected outflow and whether disclosure delivered the intended transparency.
These users reconstruct offshore utility portfolios in a period when consolidated disclosures rarely broke out foreign subsidiaries by entity. The financial data sections (revenues, expenses, assets, parent interest) support estimates of overseas contribution to consolidated results, identification of intercompany flows, and tracing of impairments or divestitures to specific FUCOs. Used in restatement analysis and expert testimony in long-running disputes.
Reporters working multi-decade threads on the international footprint of US energy conglomerates use entity identification fields, facility descriptions, and exhibit lists as dated, primary documentation of which overseas utilities a holding company actually controlled and when. The record anchors long-form reporting on privatization-era deals and retrospective accountability pieces on failed overseas ventures.
Faculty and graduate researchers treat the corpus as a structured panel. They extract entity counts, country exposure, facility characteristics, and original-versus-amended differences from U-33-S/A filings for econometric work on regulatory arbitrage, determinants of US utility FDI, and links between domestic rate regulation and offshore investment.
Long-horizon country-risk work uses facility descriptions (generation type, transmission corridors, distribution territories) joined to FUCO entity identification to map historical US ownership of foreign critical infrastructure, track how exposures shifted across the decade, and observe disclosure behavior during political or currency stress.
Consultants supporting cross-border transactions, regulatory proceedings, or rate cases use the filings to document system-company interests, the scope of facilities under a given FUCO designation, and supporting exhibits. The record underpins expert reports and testimony referencing PUHCA-era ownership of assets still in service.
Teams building retrieval and language-model systems for SEC historical filings use the set as a scoped corpus on a niche form type. The mix of metadata, TXT, HTML, and PDF documents supports extraction-pipeline testing, FUCO-specific entity and facility terminology training, and retrieval benchmarking on long-tail regulatory content.
Form U-33-S is no longer a live series, but it remains the authoritative primary record of US holding-company interests in foreign utilities during the FUCO era. Its users share a need for a complete, accession-level archive across the 1996-2006 lifespan, even as they draw on different parts of each filing: entity identification, facility descriptions, financial data, exhibits, or U-33-S/A amendments.
Because the dataset is a closed archive covering April 1996 through February 2006, its use cases are retrospective: each one starts from a specific question that can only be answered by reading the FUCO-level disclosures themselves.
Building a panel of US-controlled foreign generation capacity, 1996-2006. The objective is a country-year table of installed megawatts, fuel type, and percentage interest held by a US registered holding company system. The workflow iterates over every accession folder, parses Item 1 of the HTM body for each FUCO's name, country, facility description, and the system company's interest, joins to entities[].cik for the filer, and uses periodOfReport as the year axis. The output feeds econometric work on US utility FDI during the privatization era.
Reconstructing the ownership chain of a specific foreign utility for M&A or title diligence. The objective is to establish which US holding company controlled an asset, through which intermediate entities, and during which years. The workflow pulls all filings whose Item 1 names the target FUCO (or its predecessor), reads Exhibit A's indented HTML organizational chart to lift the parent-to-FUCO chain, and orders them by periodOfReport and filedAt to date acquisition, restructuring, and divestiture events. Any U-33-S/A amendment for that period is read alongside the original since the amendment is authoritative for the as-reported chain.
Cataloguing recourse-debt and guarantee exposures of US systems to FUCO obligations. The objective is a register of system-company guarantees, support agreements, and keep-well undertakings tied to specific foreign entities. The workflow extracts Item 2 narrative and tables from every record, links each line to the guarantor entity in entities, the guaranteed FUCO from Item 1, and the reporting year, and produces a panel used in forensic accounting, restatement analysis, or expert testimony on legacy cross-border exposures.
Distinguishing as-first-reported from final restated disclosure using U-33-S/A pairs. The objective is to identify what registrants corrected in foreign-utility reporting and when. The workflow groups records by registrant CIK and periodOfReport, isolates pairs where a U-33-S/A exists for the same period, and diffs Items 1-3 and Exhibit A between the original and amendment. The output supports PUHCA legal research on Section 33 practice and academic work on disclosure quality, since the dataset does not carry an explicit original-to-amendment pointer and the join must be reconstructed.
Mapping intra-system service, sales, and construction contracts with FUCOs. The objective is an inventory of intra-system arrangements linking US registered systems to their foreign affiliates. The workflow parses Item 3 across the archive for counterparties, contract type, and term, links counterparty names to the entities array and the FUCO list in Item 1, and produces a contract-level dataset for studies of intra-system pricing, cost allocation, and regulatory arbitrage between the 1992 EPAct and 2005 PUHCA repeal.
Scoped corpus for retrieval and extraction benchmarks on a niche form type. The objective is a small, well-bounded test bed for SEC-historical RAG and extraction pipelines. The workflow uses the corpus, with its mix of metadata.json, HTM, TXT, and PDF components and its VMS-style typesetter comments inside the HTML body, to benchmark FUCO entity recognition, indentation-encoded Exhibit A parsing, and amendment-vs-original retrieval, while validating accession-folder-to-metadata path normalization between the unhyphenated folder name and the hyphenated accessionNo.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-u33s-files.json
This endpoint returns dataset metadata together with the full list of container files. The response includes the dataset name, description, last update timestamp, earliest sample date, total record count, total size, covered form types (U-33-S, U-33-S/A), container format (ZIP), and file types contained in each archive (TXT, JSON, HTML, PDF). It also includes the download URL for the entire dataset and per-container entries with key, size, record count, updated timestamp, and download URL. Use this endpoint to monitor which containers were updated in the most recent refresh and to decide which containers to download incrementally. This endpoint does not require an API key.
Example response:
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{
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"datasetId": "1f13365b-9ae0-6a3d-bb20-f57ac017800b",
3
"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-u33s-files.zip",
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"name": "Form U-33-S Files Dataset",
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"updatedAt": "2026-04-16T08:38:38.297Z",
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"earliestSampleDate": "1996-04-01",
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"totalRecords": 86,
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"totalSize": 358075,
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"formTypes": ["U-33-S", "U-33-S/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-u33s-files/2005/2005-06.zip",
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"key": "2005/2005-06.zip",
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"size": 42180,
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"records": 11,
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"updatedAt": "2026-04-16T08:38:38.297Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-u33s-files.zip?token=YOUR_API_KEY
Downloads the complete Form U-33-S Files dataset as a single ZIP archive covering all filings from April 1996 through February 2006. This endpoint requires an API key passed via the token query parameter.
Download Single Container: https://api.sec-api.io/datasets/form-u33s-files/2005/2005-06.zip?token=YOUR_API_KEY
Downloads one monthly container ZIP instead of the full dataset. Container keys follow the YYYY/YYYY-MM.zip pattern, allowing selective retrieval of filings from a specific month. This endpoint requires an API key passed via the token query parameter.
The dataset covers Form U-33-S, the "Annual Report Concerning Foreign Utility Companies" filed under Section 33(e) of the Public Utility Holding Company Act of 1935, together with its amendment counterpart Form U-33-S/A. Both form types are included in the same accession-level archive.
One record is a single Form U-33-S or U-33-S/A filing as accepted by EDGAR, identified by its accession number. Each record materializes as an accession-numbered folder containing a metadata.json descriptor plus the original submission documents — typically an HTM form body, sometimes with auxiliary HTML, TXT, or PDF components, with image attachments excluded.
Filers are U.S. holding-company systems registered under Section 5 of PUHCA 1935 that held direct or indirect interests in one or more foreign utility companies (FUCOs) during the reporting fiscal year, along with subsidiaries and affiliates within those systems that themselves held FUCO interests. Exempt holding companies, stand-alone domestic utilities, and the FUCOs themselves did not file the form.
The dataset covers filings from April 1996 through February 2006. It ends at that date because Title XII, Subtitle F of the Energy Policy Act of 2005 repealed PUHCA 1935 effective February 8, 2006, after which the SEC stopped accepting Form U-33-S filings and broader holding-company oversight passed to FERC.
The dataset is distributed as monthly ZIP containers under the path layout {YYYY}/{YYYY-MM}.zip. Each container holds the accession folders for filings accepted by EDGAR that month, and inside each accession folder the file types found are JSON (metadata), HTML, TXT, and PDF.
Form U-5S is the PUHCA annual report covering a registered holding company's domestic system — utility subsidiaries, non-utility businesses, intra-system transactions, and consolidated GAAP results — while Form U-33-S is bounded to Section 33(e) FUCO interests: the foreign entities, their facilities, and the system's financial relationship to them. Form 10-K is an Exchange Act investor-protection disclosure with consolidated financials and broad business narrative, whereas U-33-S is a PUHCA compliance disclosure with entity-by-entity FUCO detail; a 10-K confirms foreign operations exist, U-33-S inventories them.
Amendments are filed as independent records with their own accession numbers and folders, sharing the registrant CIK and periodOfReport with the original they correct while carrying a later filedAt. The dataset does not provide an explicit original-to-amendment pointer, so users must reconstruct the relationship by matching CIK and periodOfReport across records, and U-33-S/A filings typically restate the prescribed items in full rather than emitting a textual diff.