Form 13D/13G Search API
The Form 13D & Form 13G Search API provides an interface to access and search all Form 13D and Form 13G filings published on the SEC EDGAR database. The API allows you to search all activist investor and passive ownership disclosures on Form 13D/G filings by any form property, such as CUSIP or ticker of acquired securities, name of issuer, percent of shares acquired, type of reporter, and more.
Our algorithms extract all information from the filings, convert the information into a standardized JSON format, store and make the data searchable via a simple HTTP API. New Form 13D and Form 13G filings are added to the corpus in real-time.
The database is searchable by all Form 13D/13G disclosed data points:
- Details about issuer and acquirer (type of acquirer, source of funds, purpose of acquisition, business names, persons, locations)
- Details about acquired securities (CUSIP, ticker, class, title, type, number of shares acquired, percent acquired of total shares outstanding)
- All Items 1 to 10, including exhibits
Dataset size:
All Form 13D and Form 13G disclosures (including amendments) in text, HTML and XML format are available in standardized JSON format from 1994 to present.
Data update frequency:
Newly filed Form 13D and Form 13G filings are processed and added to the database in less than 500 milliseconds after they are published on the SEC EDGAR database.
Survivorship bias free:
Yes. The database includes all Form 13D and Form 13G filings, including those from entities that no longer exist.
Supported Form 13D Items
- Item 1. Security and Issuer
- Item 2. Identity and Background
- Item 3. Source and Amount of Funds or Other Consideration
- Item 4. Purpose of Transaction
- Item 5. Interest in Securities of the Issuer
- Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
- Item 7. Material to be Filed as Exhibits
Supported Form 13G Items
- Item 1 (a, b) Name of issuer, address of issuer's principal executive offices
- Item 2 (a, b, c, d, e) Name of reporting person, address or principal business office or, if none, residence, Citizenship, CUSIP No
- Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a ...
- Item 4. Ownership
- Item 5. Ownership of 5 Percent or Less of a Class
- Item 6. Ownership of More than 5 Percent on Behalf of Another Person
- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
- Item 8. Identification and Classification of Members of the Group
- Item 9. Notice of Dissolution of Group
- Item 10. Certifications
API Endpoint
Form 13D and Form 13G filing content can be searched by sending a POST HTTP request with search parameters as the JSON payload to the following API endpoint:
https://api.sec-api.io/form-13d-13g
Supported HTTP methods: POST
Request and response content type: JSON
Authentication
Use the API key shown in your user profile to authenticate your requests. There are two ways to use your API key. It's either/or.
- Set as
Authorizationheader. Before making aPOSTrequest tohttps://api.sec-api.io/form-13d-13g, you need to set theAuthorizationheader toYOUR_API_KEY - Set as query parameter. Example:
https://api.sec-api.io/form-13d-13g?token=YOUR_API_KEY
In this case, you sendPOSTrequests to the endpointhttps://api.sec-api.io/form-13d-13g?token=YOUR_API_KEYand not tohttps://api.sec-api.io/form-13d-13g.
Request Parameters
All Form 13D and Form 13G filing properties are searchable. Refer to the complete list of properties in the Response Structure section below. You can send a search query as JSON formatted payload to the API using the structure below.
Request parameters:
query(string) - Your search query. Boolean operators (AND, OR, NOT), range queries (e.g.filedAt:[2021-01-01 TO 2021-12-31]), wildcards (*) and nested conditions are fully supported. The query is written in Lucene syntax. More information on Lucene is available here. Examples:"formType:13D AND owners.amountAsPercent:[10 TO *]"returns all Form 13D filings disclosing the acquisition of 10% and more of the outstanding securities of an issuer."owners.typeOfReportingPerson:(IA, IC, IV)"returns all Form 13D and Form 13G filings disclosing acquisitions by either investment advisers (IA), insurance companies (IC) or investment companies (IV).from(integer) - The start position of your search in the result universe.fromis similar to an index of an array. Increasefromin order to paginate through the results. For example, setfromto 50 to get the next 50 matches. Default: 0.size(integer) - The number of filings to be returned in one response. Default: 50. Max: 50.sort(array) - An array of sort definitions. Each array item defines the sort order of the result.
Default:[{ "filedAt": { "order": "desc" } }]
Request Examples
List the 50 most recently filed Form 13D and 13G filings.
JSON
1
{
2
"query": "accessionNo:*",
3
"from": "0",
4
"size": "50",
5
"sort": [ { "filedAt": { "order": "desc" } } ]
6
}
Search Form 13D and Form 13G filings disclosing ownerships of more than 10% by Point72 companies. Resulting filings include various Point72 owners, such as Point72 Private Investments, Point72 Asset Management or Point72 Capital Advisors.
JSON
1
{
2
"query": "owners.name:Point72 AND owners.amountAsPercent:[10 TO *]",
3
"from": "0",
4
"size": "50",
5
"sort": [ { "filedAt": { "order": "desc" } } ]
6
}
List all owners disclosed in Form 13D and 13G that own securities in Tempo Automation Holdings with CIK 1813658.
JSON
1
{
2
"query": "filers.cik:1813658",
3
"from": "0",
4
"size": "50",
5
"sort": [ { "filedAt": { "order": "desc" } } ]
6
}
Response Structure
Response type: JSON
The API response represents a JSON object with two properties: total (object) and filings (array). The total.value property indicates the total number of filings matching your search query. The filings array holds up to 50 matching Form 13D and Form 13G filings. An array item represents a JSON object of a Form 13D or Form 13G filing and includes the following elements:
id(string) - System-internal unique identifier of the filing.accessionNo(string) - Accession number of the filing, e.g.0001946140-22-000002.formType(string) - Form type of the filing:13D,13D/A,13Gor13G/A. The/Asuffix represents amended filings.filedAt(date) - Date on which the filing was accepted by SEC EDGAR, e.g.2022-10-12T17:29:52-04:00.filers(array of objects) - CIK and name of filers.cik(string) - CIK of filer, e.g.1510281.name(string) - Name of filer, e.g.Saba Capital Management, L.P..
nameOfIssuer(string) - Name of the issuer of acquired securities, e.g.Esperion Therapeutics, Inc..cusip(array of strings) - CUSIPs of acquired security classes, e.g.["G9440D103"].titleOfSecurities(string) - Title of class of securities, e.g.Common shares, $0.00005 par value per share.eventDate(date) - Date of event which requires filing of this statement. Format: YYYY-MM-DD.
Form 13D Specific Response
schedule13GFiledPreviously(bool) -Trueif the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §240.13d-1(e), 240.13d-1(f) or 240.13d-1(g).Falseotherwise.owners(array) - Details about each person who acquired the security.name(string) - 1. Full legal name of each person for whom the report is filed - i.e., each person required to sign the schedule itself - including each member of a group.memberOfGroup(object) - 2. Member of a group checkbox.a(bool) -Trueif any of the shares beneficially owned by a reporting person are held as a member of the group and the membership is expressly affirmed.Falseotherwise.b(bool) -Trueif the reporting person disclaims membership in a group or describes a relationship with other person but does not affirm the existence of a group (unless it is a joint filing pursuant to Rule 13d-1(k)(1) in which case it may not be necessary to check 2(b)).Falseotherwise.
sourceOfFunds(string) - 4. Classification(s) of the source(s) of funds or other consideration used or to be used in making the purchases as required to be disclosed pursuant to Item 3 of Schedule 13D. Refer to "Category of Source - Form 13D" for a mapping of symbols to categories.legalProceedingsDisclosureRequired(bool) - 5.Trueif disclosure of legal proceedings or actions is required pursuant to either Items 2(d) or 2(e) of Schedule 13D.Falseotherwise.place(string) - 6. Citizenship if the named reporting person is a natural person. Otherwise, place of organization.soleVotingPower(number) - 7. Number of shares beneficially owned by each reporting person with sole voting power.sharedVotingPower(number) - 8. Number of shares beneficially owned by each reporting person with shared voting power.soleDispositivePower(number) - 9. Number of shares beneficially owned by each reporting person with sole dispositive power.sharedDispositivePower(number) - 10. Number of shares beneficially owned by each reporting person with shared dispositive power.aggregateAmountOwned(number) - 11. Aggregate amount beneficially owned by each reporting person.amountExcludesCertainShares(bool) - 12.Trueif the aggregate amount reported as beneficially owned in row (11) does not include shares which the reporting person discloses in the report but as to which beneficial ownership is disclaimed pursuant to Rule 13d-4 [17 CFR 240.13d-4] under the Securities Exchange Act of 1934.Falseotherwise.amountAsPercent(number) - 13. Aggregate amount beneficially owned by each reporting person, etc. - rows (7) through (11), inclusive, and (13) are to be completed in accordance with the provisions of Item 5 of Schedule 13D. All percentages are rounded off to nearest tenth (one place after decimal point).typeOfReportingPerson(string) - 14. Type of reporting person. Classification(s) of each "reporting person" according to the breakdown discribed below.footnotes(array) - Footnotes to each row, if any.
item1(object) - Item 1. Security and Issuer. The title of the class of equity securities to which this statement relates and the name and address of the principal executive offices of the issuer of such securities.securityTitle(string) - (a) Title of the class of securities, e.g. "Class A Common Stock, par value $0.01 per share".issuerName(string) - (b)Name of the issuer of the security, e.g. "AMC Networks Inc".issuerPrincipalAddress(object) - (c) Address of the principal executive offices of the issuer. The object contains the following properties:street1,street2,city,stateOrCountry,zip.commentText(string) - Comment text. This field is used to provide additional information about the context of the filing.
item2(object) - Item 2. Identity and Background. If the person filing this statement or any person enumerated in Instruction C of this statement is a corporation, general partnership, limited partnership, syndicate or other group of persons, state its name, the state or other place of its organization, its principal business, the address of its principal office and the information required by (d) and (e) of this Item. If the person filing this statement or any person enumerated in Instruction C is a natural person, provide the information specified in (a) through (f) of this Item with respect to such person(s).filingPersonName(string) - (a) Name of the person filing the statement, e.g. "Saba Capital Management, L.P.".principalBusinessAddress(string) - (b) Residence or business address, e.g. "The principal business address of each of the Reporting Persons is 555 California Street, Suite 3450, San Francisco, California 94104."principalJob(string) - (c) Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted, e.g. "Silver Holdings is a holding company formed primarily for the purpose of holding securities of the Issuer."hasBeenConvicted(string) - (d) Whether or not, during the last five years, the person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, the dates, nature of conviction, name and location of court, any penalty imposed, or other disposition of the case.convictionDescription(string) - (e) Whether or not, during the last five years, the person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws; and, if so, identify and describe such proceedings and summarize the terms of such judgment, decree or final order.citizenship(string) - (f) Citizenship of the person filing the statement, e.g. "United States of America".
item3(object) - Item 3. Source and Amount of Funds or Other Consideration.fundsSource(string) - State the source and the amount of funds or other consideration used or to be used in making the purchases, and if any part of the purchase price is or will be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities, a description of the transaction and the names of the parties thereto. Where material, such information should also be provided with respect to prior acquisitions not previously reported pursuant to this regulation. If the source of all or any part of the funds is a loan made in the ordinary course of business by a bank, as defined in section 3(a)(6) of the Act, the name of the bank shall not be made available to the public if the person at the time of filing the statement so requests in writing and files such request, naming such bank, with the Secretary of the Commission. If the securities were acquired other than by purchase, describe the method of acquisition.
item4(object) - Item 4. Purpose of Transaction.transactionPurpose(string) - State the purpose or purposes of the acquisition of securities of the issuer. Describe any plans or proposals which the reporting persons may have which relate to or would result in:- The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;
- An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;
- A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;
- Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
- Any material change in the present capitalization or dividend policy of the issuer;
- Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;
- Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;
- Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
- A class of equity securities of the issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act;
- Any action similar to any of those enumerated above.
item5(object) - Item 5. Interest in Securities of the Issuer.percentageOfClassSecurities(string) - (a) The aggregate number and percentage of the class of securities identified pursuant to Item 1 (which may be based on the number of securities outstanding as contained in the most recently available filing with the Commission by the issuer unless the filing person has reason to believe such information is not current) beneficially owned (identifying those shares which there is a right to acquire) by each person named in Item 2. The above mentioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group within the meaning of section 13(d)(3) of the Act;numberOfShares(string) - (b) For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared;transactionDescription(string) - (c) Describe any transactions in the class of securities reported on that were effected during the past sixty days or since the most recent filing of Schedule 13D (§ 240.13d-101), whichever is less, by the persons named in response to paragraph (a). Instruction. The description of a transaction required by Item 5(c) shall include, but not necessarily be limited to: (1) The identity of the person covered by Item 5(c) who effected the transaction; (2) the date of transaction; (3) the amount of securities involved; (4) the price per share or unit; and (5) where and how the transaction was effected.listOfShareholders(string) - (d) If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of an employee benefit plan, pension fund or endowment fund is not required.date5PercentOwnership(string) - (e) If applicable, state the date on which the reporting person ceased to be the beneficial owner of more than five percent of the class of securities. Instruction. For computations regarding securities which represent a right to acquire an underlying security, see Rule 13d-3(d)(1) and the note thereto.
item6(object) - Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.contractDescription(string) - Describe any contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 and between such persons and any person with respect to any securities of the issuer, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the persons with whom such contracts, arrangements, understandings or relationships have been entered into. Include such information for any of the securities that are pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities except that disclosure of standard default and similar provisions contained in loan agreements need not be included.
item7(object) - Item 7. Material to be Filed as Exhibits.filedExhibits(string) - Filed exhibits: Copies of written agreements relating to the filing of joint acquisition statements as required by Rule 13d-1(k) and copies of all written agreements, contracts, arrangements, understanding, plans or proposals relating to:- The borrowing of funds to finance the acquisition as disclosed in Item 3;
- the acquisition of issuer control, liquidation, sale of assets, merger, or change in business or corporate structure, or any other matter as disclosed in Item 4;
- the transfer or voting of the securities, finder's fees, joint ventures, options, puts, calls, guarantees of loans, guarantees against loss or of profit, or the giving or withholding of any proxy as disclosed in Item 6.
signatures(array) - Array of signatures.exhibits(array) - Array of exhibits.
Response Example - Form 13D
JSON
1
{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"filings": [
7
{
8
"id": "eb318f156ac16cea14c8ab6d8107cd2b",
9
"accessionNo": "0001062993-23-009421",
10
"formType": "SC 13D/A",
11
"filedAt": "2023-04-21T09:03:01-04:00",
12
"filers": [
13
{
14
"cik": "1510281",
15
"name": "Saba Capital Management, L.P. (Filed by)"
16
},
17
{
18
"cik": "1576340",
19
"name": "CENTER COAST BROOKFIELD MLP & ENERGY INFRASTRUCTURE FUND (Subject)"
20
}
21
],
22
"nameOfIssuer": "Center Coast Brookfield MLP & Energy Infrastructure Fund",
23
"titleOfSecurities": "Common Shares, $0.01 par value",
24
"cusip": [
25
"151461209"
26
],
27
"eventDate": "2023-04-19",
28
"schedule13GFiledPreviously": true,
29
"owners": [
30
{
31
"name": "Saba Capital Management, L.P.",
32
"memberOfGroup": {
33
"a": false,
34
"b": false
35
},
36
"sourceOfFunds": [
37
"OO"
38
],
39
"legalProceedingsDisclosureRequired": false,
40
"place": "Delaware",
41
"soleVotingPower": 0,
42
"sharedVotingPower": 1062375,
43
"soleDispositivePower": 0,
44
"sharedDispositivePower": 1062375,
45
"aggregateAmountOwned": 1062375,
46
"amountExcludesCertainShares": false,
47
"amountAsPercent": 21.55,
48
"typeOfReportingPerson": [
49
"PN",
50
"IA"
51
]
52
},
53
{
54
"name": "Boaz R. Weinstein",
55
"memberOfGroup": {
56
"a": false,
57
"b": false
58
},
59
"sourceOfFunds": [
60
"OO"
61
],
62
"legalProceedingsDisclosureRequired": false,
63
"place": "United States",
64
"soleVotingPower": 0,
65
"sharedVotingPower": 1062375,
66
"soleDispositivePower": 0,
67
"sharedDispositivePower": 1062375,
68
"aggregateAmountOwned": 1062375,
69
"amountExcludesCertainShares": false,
70
"amountAsPercent": 21.55,
71
"typeOfReportingPerson": [
72
"IN"
73
]
74
},
75
{
76
"name": "Saba Capital Management GP, LLC",
77
"memberOfGroup": {
78
"a": false,
79
"b": false
80
},
81
"sourceOfFunds": [
82
"OO"
83
],
84
"legalProceedingsDisclosureRequired": false,
85
"place": "Delaware",
86
"soleVotingPower": 0,
87
"sharedVotingPower": 1062375,
88
"soleDispositivePower": 0,
89
"sharedDispositivePower": 1062375,
90
"aggregateAmountOwned": 1062375,
91
"amountExcludesCertainShares": false,
92
"amountAsPercent": 21.55,
93
"typeOfReportingPerson": [
94
"OO"
95
]
96
}
97
],
98
"item1": {
99
"securityTitle": "Common Stock, $0.01 par value",
100
"issuerName": "FREYR Battery, Inc.",
101
"issuerPrincipalAddress": {
102
"street1": "6&8 East Court Square",
103
"street2": "Suite 300",
104
"city": "Newnan",
105
"stateOrCountry": "GA",
106
"zipCode": "30263"
107
},
108
"commentText": "This Schedule 13D is intended to serve as ..."
109
},
110
"item2": {
111
"filingPersonName": "Item 2(a) of the Initial Schedule 13D is amended and restated as follows: This Schedule 13D is jointly filed by Wood River Capital, LLC (\"Wood River\"), SCC Holdings, LLC (\"SCC\"), KIM, LLC (\"KIM\"), Koch Investments Group, LLC (\"KIG\"), Koch Investments Group Holdings, LLC (\"KIGH\"), Koch Companies, LLC (\"KCLLC\"), and Koch, Inc. (each a \"Reporting Person,\" and collectively, the \"Reporting Persons\"). ...",
112
"principalJob": "Item 2(c) of the Initial Schedule 13D is amended and restated as follows: Wood River is principally engaged in the business of investing in other companies. SCC is principally engaged as a holding company for Wood River. KIM is principally engaged as a holding company for SCC. ...",
113
"hasBeenConvicted": "Item 2(d) of the Initial Schedule 13D is amended and restated as follows: During the last five years, none of the Reporting Persons nor, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A to the Schedule 13D, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).",
114
"convictionDescription": "Item 2(e) of the Initial Schedule 13D is amended and restated as follows: During the last five years, none of the Reporting Persons nor, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A to the Schedule 13D, has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such laws.",
115
"citizenship": "Item 2(f) of the Initial Schedule 13D is amended and restated as follows: Each of Wood River, SCC Holdings, KIM, KIG, KIGH and KCLLC is a Delaware limited liability company. Koch, Inc. is a privately-held Kansas corporation. All of the directors, managers and executive officers listed on Schedule A are citizens of the United States."
116
},
117
"item3": {
118
"fundsSource": "N/A (see Initial Schedule 13D)."
119
},
120
"item4": {
121
"transactionPurpose": "N/A (see Initial Schedule 13D)."
122
},
123
"item5": {
124
"percentageOfClassSecurities": "Item 5(a) of the Initial Schedule 13D is amended as follows: As of the date hereof, the Reporting Persons hold 8,989,671 Public Shares, representing approximately 5.76% of the outstanding Public Shares. ...",
125
"numberOfShares": "Item 5(b) of the Initial Schedule 13D is amended as follows: As of the date hereof, the Reporting Persons possess sole power to vote or to direct the vote and sole power to dispose or to direct the disposition of the 8,989,671 Public Shares reported in the Schedule 13D.",
126
"transactionDescription": "Item 5(c) of the Initial Schedule 13D is amended as follows: Except as set forth in this Amendment No. 4, no transactions in the Public Shares were effected by the Reporting Persons, or, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A hereto in the 60 days preceding the date of Amendment No. 4. On November 7, 2024, the Reporting Persons sold 31,660 Public Shares at a weighted average price per share of $2.36. ...",
127
"listOfShareholders": "Item 5(d) of the Initial Schedule 13D is amended as follows: Except as described herein, to the knowledge of the Reporting Persons, no other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any Public Shares of the Issuer beneficially owned by the Reporting Persons as described in this Item 5.",
128
"date5PercentOwnership": "Not applicable. "
129
},
130
"item6": {
131
"contractDescription": "Not applicable. "
132
},
133
"item7": {
134
"filedExhibits": "Item 7 of the Schedule 13D is supplemented by the filing of the following document: 1) Schedule A (attached)."
135
}
136
}
137
]
138
}
Form 13G Specific Response
applicableRule(object) - The Rule pursuant to which the Schedule is filed.13d-1b(bool) -Trueif this Schedule is filed pursuant to Rule 13d-1(b).Falseotherwise. Statements filed pursuant to Rule 13d-1(b) containing the information required by this schedule shall be filed not later than February 14 following the calendar year covered by the statement or within the time specified in Rules 13d-1(b)(2) and 13d-2(c).13d-1c(bool) -Trueif this Schedule is filed pursuant to Rule 13d-1(c).Falseotherwise. Statements filed pursuant to Rule 13d-1(c) shall be filed not later than February 14 following the calendar year covered by the statement pursuant to Rules 13d-1(d) and 13d-2(b).13d-1d(bool) -Trueif this Schedule is filed pursuant to Rule 13d-1(d).Falseotherwise. Statements filed pursuant to Rule 13d-1(d) shall be filed within the time specified in Rules 13d-1(c), 13d-2(b) and 13d-2(d).
owners(array) - Details about each person who acquired the security.name(string) - 1. Full legal name of each person for whom the report is filed - i.e., each person required to sign the schedule itself - including each member of a group.memberOfGroup(object) - 2. Member of a group checkbox.a(bool) -Trueif any of the shares beneficially owned by a reporting person are held as a member of the group and the membership is expressly affirmed.Falseotherwise.b(bool) -Trueif the reporting person disclaims membership in a group or describes a relationship with other person but does not affirm the existence of a group (unless it is a joint filing pursuant to Rule 13d-1(k)(1) in which case it may not be necessary to check 2(b)).Falseotherwise.
place(string) - 4. Citizenship if the named reporting person is a natural person. Otherwise, place of organization.soleVotingPower(number) - 5. Number of shares beneficially owned by each reporting person with sole voting power.sharedVotingPower(number) - 6. Number of shares beneficially owned by each reporting person with shared voting power.soleDispositivePower(number) - 7. Number of shares beneficially owned by each reporting person with sole dispositive power.sharedDispositivePower(number) - 8. Number of shares beneficially owned by each reporting person with shared dispositive power.aggregateAmountOwned(number) - 9. Aggregate amount beneficially owned by each reporting person.amountExcludesCertainShares(bool) - 10.Trueif the aggregate amount reported as beneficially owned in row (9) does not include shares as to which beneficial ownership is disclaimed pursuant to Rule 13d-4 [17 CFR 240.13d-4] under the Securities Exchange Act of 1934.Falseotherwise.amountAsPercent(number) - 11. Aggregated amount beneficially owned by each reporting person, etc. - rows (5) through (9) inclusive, and (11) are to be completed in accordance with the provisions of Item 4 of Schedule 13G. All percentages are to be rounded off to the nearest tenth (one place after decimal point).typeOfReportingPerson(string) - 12. Type of reporting person. Classification(s) of each "reporting person" according to the breakdown discribed below.footnotes(array) - Footnotes to each row, if any.
item1(object) - Item 1 (a, b). Information about issuer: name of issuer and address.issuerName(string) - (a) Name of the issuer of the security, e.g. "Stronghold Digital Mining, Inc.".issuerPrincipalExecutiveOfficeAddress(string) - (b) Address of the issuer's principal executive offices, e.g. "595 MADISON AVENUE, 28TH FLOOR, NEW YORK, NEW YORK, 10022."
item2(object) - Item 2 (a, b, c, d, e). Information about the reporting person: name, address, citizenship, title of class of securities, CUSIP number of acquired securities.filingPersonName(string) - (a) Name of the person filing the statement, e.g. "FENBUSHI Inc\n\nBo Shen".principalBusinessOfficeOrResidenceAddress(string) - (b) Residence or business address, e.g. "1835 Savoy Dr., Suite 202, Atlanta, GA 30341, United States"citizenship(string) - (c) Citizenship of the person filing the statement, e.g. "FENBUSHI Inc - The State of Georgia, United States\n\nBo Shen - United States".
item3(object) - Item 3. Type of person.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.typesOfPersons(array of strings) - Array of types of persons filing the statement. If this statement is filed pursuant to § 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:- (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
- (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
- (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
- (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
- (e) [ ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
- (f) [ ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
- (g) [ ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
- (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
- (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
- (j) [ ] A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
- (k) [ ] Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________
otherTypeOfPersonFiling(string) - Context for the type of person filing the statement.
item4(array of objects) - Item 4. Ownership. Information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. are provided:amountBeneficiallyOwned(number) - (a) Amount beneficially owned, e.g. "1,000,000".classPercent(number) - (b) Percent of class, e.g. "5.2".numberOfSharesPersonHas(object) - (c) Number of shares as to which the person has:solePowerOrDirectToVote(number) - (i) Sole power to vote or to direct the vote, e.g. "1,000,000".sharedPowerOrDirectToVote(number) - (ii) Shared power to vote or to direct the vote, e.g. "1,000,000".solePowerOrDirectToDispose(number) - (iii) Sole power to dispose or to direct the disposition of, e.g. "1,000,000".sharedPowerOrDirectToDispose(number) - (iv) Shared power to dispose or to direct the disposition of, e.g. "1,000,000".
item5(object) - Item 5. Ownership of 5 Percent or Less of a Class.classOwnership5PercentOrLess(bool) -trueif this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities.falseotherwise. Dissolution of a group requires a response to this item.
item6(object) - Item 6. Ownership of More than 5 Percent on Behalf of Another Person.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.ownershipMoreThan5PercentOnBehalfOfAnotherPerson(string) - If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than 5 percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
item7(object) - Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.subsidiaryIdentificationAndClassification(string) - If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
item8(object) - Item 8. Identification and Classification of Members of the Group.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.identificationAndClassificationOfGroupMembers(string) - If a group has filed this schedule pursuant to § 240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.
item9(object) - Item 9. Notice of Dissolution of Group.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.groupDissolutionNotice(string) - Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
item10(object) - Item 10. Certifications.notApplicable(bool) -trueif the statement is not applicable. If the statement is not applicable, the rest of the fields in this object should be ignored.falseotherwise.certifications(string) - Certifications. The certification set forth below shall be included if the statement is filed pursuant to § 240.13d-1(b) or 240.13d-2(b) or (c). If the statement is filed pursuant to § 240.13d-1(c) or 240.13d-1(d), a certification shall be included in accordance with the requirements of that section.
signatures(array) - Array of signatures.exhibits(array) - Array of exhibits, if any.
Response Example - Form 13G
JSON
1
{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"filings": [
7
{
8
"id": "bf8500173ec701502a895f9280823d9b",
9
"accessionNo": "0000902664-23-002476",
10
"formType": "SC 13G",
11
"filedAt": "2023-04-05T16:23:32-04:00",
12
"filers": [
13
{
14
"cik": "1434868",
15
"name": "Esperion Therapeutics, Inc. (Subject)"
16
},
17
{
18
"cik": "1603466",
19
"name": "Point72 Asset Management, L.P. (Filed by)"
20
}
21
],
22
"nameOfIssuer": "Esperion Therapeutics, Inc.",
23
"titleOfSecurities": "Common Stock, par value $0.001 per share",
24
"cusip": [
25
"29664W105"
26
],
27
"eventDate": "2023-04-04",
28
"applicableRule": {
29
"13d-1b": false,
30
"13d-1c": true,
31
"13d-1d": false
32
},
33
"owners": [
34
{
35
"name": "Point72 Asset Management, L.P.",
36
"memberOfGroup": {
37
"a": false,
38
"b": true
39
},
40
"place": "Delaware",
41
"soleVotingPower": 0,
42
"sharedVotingPower": 4314286,
43
"soleDispositivePower": 0,
44
"sharedDispositivePower": 4314286,
45
"aggregateAmountOwned": 4314286,
46
"amountExcludesCertainShares": false,
47
"amountAsPercent": 4.8,
48
"typeOfReportingPerson": [
49
"PN"
50
]
51
},
52
{
53
"name": "Point72 Capital Advisors, Inc.",
54
"memberOfGroup": {
55
"a": false,
56
"b": true
57
},
58
"place": "Delaware",
59
"soleVotingPower": 0,
60
"sharedVotingPower": 4314286,
61
"soleDispositivePower": 0,
62
"sharedDispositivePower": 4314286,
63
"aggregateAmountOwned": 4314286,
64
"amountExcludesCertainShares": false,
65
"amountAsPercent": 4.8,
66
"typeOfReportingPerson": [
67
"CO"
68
]
69
},
70
{
71
"name": "Cubist Systematic Strategies, LLC",
72
"memberOfGroup": {
73
"a": false,
74
"b": true
75
},
76
"place": "Delaware",
77
"soleVotingPower": 0,
78
"sharedVotingPower": 219470,
79
"soleDispositivePower": 0,
80
"sharedDispositivePower": 219470,
81
"aggregateAmountOwned": 219470,
82
"amountExcludesCertainShares": false,
83
"amountAsPercent": 0.2,
84
"typeOfReportingPerson": [
85
"OO"
86
]
87
},
88
{
89
"name": "Steven A. Cohen",
90
"memberOfGroup": {
91
"a": false,
92
"b": true
93
},
94
"place": "United States",
95
"soleVotingPower": 0,
96
"sharedVotingPower": 4533756,
97
"soleDispositivePower": 0,
98
"sharedDispositivePower": 4533756,
99
"aggregateAmountOwned": 4533756,
100
"amountExcludesCertainShares": false,
101
"amountAsPercent": 5,
102
"typeOfReportingPerson": [
103
"IN"
104
]
105
}
106
],
107
"item1": {
108
"issuerName": "BM TECHNOLOGIES INC",
109
"issuerPrincipalExecutiveOfficeAddress": "201 King of Prussia Road Suite 650 Wayne, PENNSYLVANIA 19087"
110
},
111
"item2": {
112
"filingPersonName": "CSS, LLC",
113
"principalBusinessOfficeOrResidenceAddress": "1 North Wacker Drive\nSuite 3075\nChicago, IL 60606",
114
"citizenship": "IL - ILLINOIS, USA"
115
},
116
"item3": {
117
"notApplicable": false,
118
"typeOfPersonFiling": "FI",
119
"otherTypeOfPersonFiling": "German KVG (Investment Management Company)"
120
},
121
"item4": [
122
{
123
"amountBeneficiallyOwned": 1014636,
124
"classPercent": 7.74,
125
"numberOfSharesPersonHas": {
126
"solePowerOrDirectToVote": 1014636,
127
"sharedPowerOrDirectToVote": 0,
128
"solePowerOrDirectToDispose": 1014636,
129
"sharedPowerOrDirectToDispose": 0
130
}
131
}
132
],
133
"item5": {
134
"notApplicable": false,
135
"classOwnership5PercentOrLess": true
136
},
137
"item6": {
138
"notApplicable": false,
139
"ownershipMoreThan5PercentOnBehalfOfAnotherPerson": "Point72 Associates has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, more than 5 percent of the outstanding Class A Common Shares."
140
},
141
"item7": {
142
"notApplicable": false,
143
"subsidiaryIdentificationAndClassification": "See Item 2(a) above."
144
},
145
"item8": {
146
"notApplicable": false,
147
"identificationAndClassificationOfGroupMembers": "CCM is the investment adviser to CCP, which is an investment limited partnership. CC is the General Partner of CCP. Gray and Shackelton are the managers of CC and CCM. The Reporting Persons may be deemed to be members of a group with respect to the Common Stock owned of record by CCP and a separate account managed by CCM (the \"Separate Account\"). CCP is the record owner of 3,582,459 shares of Common Stock and the Separate Account is the record owner of 893,505 shares of Common Stock."
148
},
149
"item9": {
150
"notApplicable": true,
151
"groupDissolutionNotice": ""
152
},
153
"item10": {
154
"notApplicable": false,
155
"certifications": "By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11."
156
}
157
}
158
]
159
}
Meaning of Symbols
Category of Source - Form 13D
| Symbol | Category of Source |
| SC | Subject Company (Company whose securities are being acquired) |
| BK | Bank |
| AF | Affiliate (of reporting person) |
| WC | Working Capital (of reporting person) |
| PF | Personal Funds (of reporting person) |
| OO | Other |
Type of Reporting Person - Form 13D, 13G
| Symbol | Category | 13D | 13G |
| BD | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | x | x |
| BK | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | x | x |
| CO | Corporation | x | x |
| CP | Church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | x | x |
| EP | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | x | x |
| FI | Non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). | x | |
| HC | Parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); | x | x |
| IA | Investment adviser in accordance with § 240.13d- 1(b)(1)(ii)(E); | x | x |
| IC | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | x | x |
| IN | Individual | x | x |
| IV | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | x | x |
| PN | Partnership | x | x |
| SA | Savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | x | x |
| OO | Other | x | x |
References
For more information about Form 13D and 13G filings visit the SEC websites here: