Form D API - Private Placements & Exempt Offerings
The Form D API provides an interface to access and search the entire SEC EDGAR database by any Form D filing parameter to find the latest security offerings. Structured XML data of Form D filings is converted into JSON format and made searchable by the API. New Form D filings are added to the corpus in real-time.
Find Form D offerings by entity type such as corporations and trusts, by industry group (e.g. insurance, hedge funds, venture capital funds), net asset value ranges (e.g. $25 to $50 million), type of offering (e.g. debt or equity), total offering amount, sales comission, minimum investment amount and any other Form D item.
Dataset size:
All Form D offerings filed since 2008 to present.
Data update frequency:
New Form D filings are indexed and searchable in 300 milliseconds after they are published on EDGAR.
Survivorship bias free:
Yes. The API includes all Form D filings, including those from entities that are no longer active or do not exist anymore.
API Endpoint
https://api.sec-api.io/form-d
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-d, you need to set theAuthorizationheader toYOUR_API_KEY - Set as query parameter. Example:
https://api.sec-api.io/form-d?token=YOUR_API_KEY
In this case, you sendPOSTrequests to the endpointhttps://api.sec-api.io/form-d?token=YOUR_API_KEYand not tohttps://api.sec-api.io/form-d.
Request Parameters
All Form D offering 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 criteria. Boolean operators (AND, OR, NOT), range queries across date and number fields, wildcards (*) and nested conditions are fully supported. The query is written in Lucene syntax. More information on Lucene is available here. Examples:"offeringData.offeringSalesAmounts.totalOfferingAmount:[1000000 TO *]"returns all offerings with a total offering amount of $1 million and more."offeringData.industryGroup.investmentFundInfo.investmentFundType:\"Hedge Fund\""returns all offerings issued by hedge funds."offeringData.typesOfSecuritiesOffered.isEquityType:true OR offeringData.typesOfSecuritiesOffered.isPooledInvestmentFundType:true"returns all equity and pooled investment fund offerings."offeringData.salesCommissionsFindersFees.salesCommissions.dollarAmount:[100000 TO *]"returns all offerings with a sales commission of $100,000 and more.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 offerings 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
Find offerings with a total offering amount of $1 million and more, sort the result by the filing date, starting with the most recently filed offering.
json
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{
2
"query": "offeringData.offeringSalesAmounts.totalOfferingAmount:[1000000 TO *]",
3
"from": "0",
4
"size": "10",
5
"sort": [{ "filedAt": { "order": "desc" } }]
6
}
Find all equity and pooled investment fund security offerings and sort the result by total offering amount, starting with the highest offering.
json
1
{
2
"query": "offeringData.typesOfSecuritiesOffered.isEquityType:true OR offeringData.typesOfSecuritiesOffered.isPooledInvestmentFundType:true",
3
"from": "0",
4
"size": "10",
5
"sort": [{ "offeringData.offeringSalesAmounts.totalOfferingAmount": { "order": "desc" } }]
6
}
Response Structure
Response type: JSON
The API response represents a JSON object with two properties: total (object) and offerings (array). The total.value property indicates the total number of offerings matching your search query. The offerings array holds up to 50 matching Form D offerings. An array item is an object and represents a Form D offering including the following elements:
id(string) - System-internal unique identifier of the offering.accessionNo(string) - Accession number of the Form D filing, e.g.0001946140-22-000002.filedAt(date) - Date on which the Form D was published on SEC EDGAR, e.g.2022-10-12T17:29:52-04:00.submissionType(string) - Possible values: D and D/A.primaryIssuer(object) - Item 1 & 2 - Primary Issuer Information. Information about the issuer's identity, such as CIK, entity name, entity type, address, phone number, and more.cik(string) - The CIK of the issuer, e.g.0000742118.entityName(string) - Name of the issuer, e.g.Ken & Kenner Fund, LLC.issuerAddress(object) - Address of the issuer, including street, city, state, zip code and a description of the state or country. -issuerPhoneNumber(string) - Phone number of the issuer, e.g.212-555-1212.jurisdictionOfInc(string) - Jurisdiction of incorporation of the issuer, e.g.DELAWARE.issuerPreviousNameList(array) - List of previous names of the issuer. -edgarPreviousNameList(array) -entityType(string) - Type of the issuing entity. Possible values:Corporation,Limited Partnership,Limited Liability Company,General Partnership,Business Trust,Other.entityTypeOtherDesc(string) - IfentityTypeisOther, this field contains a description of the entity type.yearOfInc(object) - Year of incorporation of the issuer. If the entity is yet to be formed, the fieldyetToBeFormedis set totrue. -
relatedPersonsList(object) - Item 3 - Related PersonsrelatedPersonInfo(array of objects) - Information about related persons with the submission.relatedPersonName(object) - Name of the related person, including first, middle, and last name. -relatedPersonAddress(object) - Description of the related person's address, including street, city, state, zip code, and a description of the state or country. -relatedPersonRelationshipList(object)relationship(array of strings) - Relationship of related person to issuer consisting of one or more of the following values:Executive Officer,Director,Promoter.
relationshipClarification(string) - Clarification of the relationship of the related person.
over100PersonsFlag(bool) -trueif there are more than 100 related persons,falseotherwise.
offeringData(object) - Item 4 to 16 - Offering InformationindustryGroup(object) - Item 4 - Industry GroupindustryGroupType(string) - Refer to the list of industry groups to see all possible values.investmentFundInfo(object)investmentFundType(string) - If pooled investment fund represents the group, possible values are: Hedge Fund, Private Equity Fund, Venture Capital Fund and Other Investment Fund.is40Act(bool) -trueif the issuer registered as an investment company under the Investment Company Act of 1940,falseotherwise.
issuerSize(object) - Item 5 - Issuer Size. Refer to the overview of possible values of the issuer size.revenueRange(string) - Revenue range of the issuer.aggregateNetAssetValueRange(string) - Aggregate net asset value range of the issuer.
federalExemptionsExclusions(object) - Item 6 - Federal Exemptions and Exclusions Claimeditem(array of strings) - List of exemptions under Securities Act. Refer to the list of federal exemptions and exclusions to see all possible values.
typeOfFiling(object) - Item 7 - Type of FilingnewOrAmendment(object)isAmendment(bool) -trueif the filing is an amendment of a previous filing,falseotherwise.previousAccessionNumber(string) - If the filing is an amendment, the accession number of the previous filing, e.g.0001566114-24-000021.
dateOfFirstSale(object) - Date of first sale of securities in the offering. If the date is yet to occur, the fieldyetToOccuris set totrue.value(date) - Date of first sale of securities in the offering, e.g.2024-10-12.yetToOccur(bool) -trueif a first sale is yet to occur,falseotherwise.
durationOfOffering(object) - Item 8 - Duration of OfferingmoreThanOneYear(bool) -trueif the issuer intends this offering to last more than one year,falseotherwise.
typesOfSecuritiesOffered(object) - Item 9 - Types of Securities OfferedisEquityType(bool)isDebtType(bool)isOptionToAcquireType(bool)isSecurityToBeAcquiredType(bool)isPooledInvestmentFundType(bool)isTenantInCommonType(bool)isMineralPropertyType(bool)isOtherType(bool)descriptionOfOtherType(string)
businessCombinationTransaction(object) - Item 10 - Business Combination Transaction. If this offering is made in connection with a business combination transaction, such as a merger, acquisition or exchange offer.isBusinessCombinationTransaction(bool)clarificationOfResponse(string)
minimumInvestmentAccepted(number) - Item 11 - Minimum Investment. Minimum investment in US$ accepted from any outside investor.salesCompensationList(object) - Item 12 - Sales Compensationrecipient(array)recipientName(string)recipientCRDNumber(string)associatedBDName(string)associatedBDCRDNumber(string)recipientAddress(object) -statesOfSolicitationList(array)state(string)description(string)value(string)
foreignSolicitation(bool)
over100RecipientFlag(bool)
offeringSalesAmounts(object) - Item 13 - Offering and Sales AmountstotalOfferingAmount(number) - Total offering amount (Item 13.a) in US$ or-1for indefinite.totalAmountSold(number) - Total amount sold (Item 13.b).totalRemaining(number) - Total remaining amount (Item 13.c) in US$ or-1for indefinite. Total remaining amount is calculated as the total offering amount (totalOfferingAmount) minus the total amount sold (totalAmountSold).clarificationOfResponse(string)
investors(object) - Item 14 - InvestorshasNonAccreditedInvestors(bool) -trueif securities in the offering have been or may be sold to persons who do not qualify as accredited investors,falseotherwise.numberNonAccreditedInvestors(number) - Number of non-accredited investors who already have invested in the offering.totalNumberAlreadyInvested(number) - The total number of investors who already have invested in the offering, regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors.
salesCommissionsFindersFees(object) - Item 15 - Sales Commissions and Finders' Fees ExpensessalesCommissions(object)dollarAmount(number)isEstimate(bool)
findersFees(object)dollarAmount(number)isEstimate(bool)
clarificationOfResponse(string)
useOfProceeds(object) - Item 16 - Use of ProceedsgrossProceedsUsed(object) - The amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, an estimate is provided andisEstimateis set totrue.dollarAmount(number)isEstimate(bool)
clarificationOfResponse(string)
signatureBlock(object)authorizedRepresentative(bool)signature(array)issuerName(string)signatureName(string)nameOfSigner(string)signatureTitle(string)signatureDate(string)
Response Example
json
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{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"offerings": [
7
{
8
"id": "579daeabaea55b35981ab44de7183d75",
9
"accessionNo": "0001949976-22-000001",
10
"filedAt": "2022-10-12T09:08:37-04:00",
11
"submissionType": "D",
12
"primaryIssuer": {
13
"cik": "0001949976",
14
"entityName": "O2 SIB Co-Investors, LLC",
15
"issuerAddress": {
16
"street1": "40900 WOODWARD AVENUE",
17
"street2": "SUITE 200",
18
"city": "BLOOMFIELD HILLS",
19
"stateOrCountry": "MI",
20
"stateOrCountryDescription": "MICHIGAN",
21
"zipCode": "48304"
22
},
23
"issuerPhoneNumber": "248-554-4227",
24
"jurisdictionOfInc": "DELAWARE",
25
"issuerPreviousNameList": [
26
{
27
"value": "None"
28
}
29
],
30
"edgarPreviousNameList": [
31
{
32
"value": "None"
33
}
34
],
35
"entityType": "Limited Liability Company",
36
"yearOfInc": {
37
"withinFiveYears": true,
38
"value": "2022"
39
}
40
},
41
"relatedPersonsList": {
42
"relatedPersonInfo": [
43
{
44
"relatedPersonName": {
45
"firstName": "Patrick",
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"middleName": "R.",
47
"lastName": "Corden"
48
},
49
"relatedPersonAddress": {
50
"street1": "40900 Woodward Avenue, Suite 200",
51
"city": "Bloomfield Hills",
52
"stateOrCountry": "MI",
53
"stateOrCountryDescription": "MICHIGAN",
54
"zipCode": "48304"
55
},
56
"relatedPersonRelationshipList": {
57
"relationship": [
58
"Executive Officer"
59
]
60
}
61
}
62
]
63
},
64
"offeringData": {
65
"industryGroup": {
66
"industryGroupType": "Pooled Investment Fund",
67
"investmentFundInfo": {
68
"investmentFundType": "Private Equity Fund",
69
"is40Act": false
70
}
71
},
72
"issuerSize": {
73
"revenueRange": "Decline to Disclose"
74
},
75
"federalExemptionsExclusions": {
76
"item": [
77
"06b",
78
"3C",
79
"3C.1"
80
]
81
},
82
"typeOfFiling": {
83
"newOrAmendment": {
84
"isAmendment": false
85
},
86
"dateOfFirstSale": {
87
"value": "2022-09-30"
88
}
89
},
90
"durationOfOffering": {
91
"moreThanOneYear": false
92
},
93
"typesOfSecuritiesOffered": {
94
"isEquityType": true,
95
"isPooledInvestmentFundType": true
96
},
97
"businessCombinationTransaction": {
98
"isBusinessCombinationTransaction": true
99
},
100
"minimumInvestmentAccepted": 0,
101
"salesCompensationList": {},
102
"offeringSalesAmounts": {
103
"totalOfferingAmount": 25000000,
104
"totalAmountSold": 25000000,
105
"totalRemaining": 0
106
},
107
"investors": {
108
"hasNonAccreditedInvestors": false,
109
"totalNumberAlreadyInvested": 2
110
},
111
"salesCommissionsFindersFees": {
112
"salesCommissions": {
113
"dollarAmount": 0
114
},
115
"findersFees": {
116
"dollarAmount": 0
117
}
118
},
119
"useOfProceeds": {
120
"grossProceedsUsed": {
121
"dollarAmount": 0
122
}
123
},
124
"signatureBlock": {
125
"authorizedRepresentative": false,
126
"signature": [
127
{
128
"issuerName": "O2 SIB Co-Investors, LLC",
129
"signatureName": "/s/ Patrick R. Corden",
130
"nameOfSigner": "Patrick R. Corden",
131
"signatureTitle": "Chairman and President",
132
"signatureDate": "2022-10-12"
133
}
134
]
135
}
136
}
137
138
}
139
]
140
}
Industry Groups
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Issuer Size
| Revenue Range | OR | Aggregate Net Asset Value Range | ||
|---|---|---|---|---|
| No Revenues | No Aggregate Net Asset Value | |||
| $1 - $1,000,000 | $1 - $5,000,000 | |||
| $1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
| $5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
| $25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
| Over $100,000,000 | Over $100,000,000 | |||
| Decline to Disclose | Decline to Disclose | |||
| Not Applicable | Not Applicable | |||
Federal Exemption Exclusions List
| Name | Value |
|---|---|
| Rule 504(b)(1) (not (i), (ii) or (iii)) | 04 |
| Rule 504(b)(1)(i) | 04.1 |
| Rule 504(b)(1)(ii) | 04.2 |
| Rule 504(b)(1)(iii) | 04.3 |
| Rule 506(b) | 06b |
| Rule 506(c) | 06c |
| Securities Act Section 4(a)(5) | 4a5 |
| Investment Company Act Section 3(c) | 3C |
| Section 3(c)(1) | 3C.1 |
| Section 3(c)(2) | 3C.2 |
| Section 3(c)(4) | 3C.4 |
| Section 3(c)(5) | 3C.5 |
| Section 3(c)(6) | 3C.6 |
| Section 3(c)(7) | 3C.7 |
| Section 3(c)(9) | 3C.9 |
| Section 3(c)(10) | 3C.10 |
| Section 3(c)(11) | 3C.11 |
| Section 3(c)(12) | 3C.12 |
| Section 3(c)(13) | 3C.13 |
| Section 3(c)(14) | 3C.14 |
References
For more information about Form D filings visit the SEC websites here: