Registration Statement & Prospectus Data API
The Form S-1 and Form 424B4 Data API provides extracted structured data from all registration statements and prospectuses filed with the SEC. The API allows you to search and filter through all security offering filings published on the EDGAR database. The data is provided in JSON format and encompasses offering amounts (total, per share and currency: public offering price, underwriting discounts, proceeds before expenses), security types being offered, such as common stock or warrants, underwriters (lead and co-managers), law firms, auditors, employee counts (total, per division, per region), and management information (name, age, position). All types of S-1, F-1 and S-11 registration statements and 424B4 prospectuses are included.
Examples of S-1, F-1, S-11 registration statements and 424B4 prospectuses include:
- IPO registration statements and prospectuses.
- Follow-on offerings, such as by seasoned issuers (companies that have already gone public) that are looking to raise additional capital through a secondary offering of shares.
- Secondary offerings, for example, when existing shareholders, such as insiders, venture capitalists, or private equity firms, wish to sell their shares to the public.
- Debt offerings of convertible securities and other debt instruments, such as fixed-income securities like corporate bonds.
- Rights offerings, for example, where existing shareholders are given the right to purchase additional shares at a discount before the shares are offered to the public.
- Equity lines of credit, where a company can register and sell shares to an investor over a period of time under specific arrangements.
- Prospectuses for shelf offerings where securities are drawn down from a shelf registration statement (e.g. Form S-3).
- SPAC offerings such as initial unit offerings including shares and warrants, or de-SPAC transactions where a SPAC merges with a private company to take it public.
Dataset size:
Over 60,000 registration statements (Form S-1, S-1/A, F-1, F-1/A, S-11, S-11/A) and more than 9,000 prospectuses (Form 424B4), from 2000 to present.
Data update frequency:
Structured data is extracted, indexed and made available in less than 500 milliseconds after the filing is published on the SEC EDGAR database.
Survivorship bias free:
Yes. The database includes all registration statements and prospectuses, including those from companies that are no longer active or exist.
API Endpoint
Search and retrieve structured data from registration statements and prospectuses by sending a POST HTTP request with search parameters as a JSON-formatted payload to the following API endpoint:
https://api.sec-api.io/form-s1-424b4
Supported HTTP methods: POST
Request and response content type: JSON
Authentication
To authenticate your API requests, use the API key available in your user profile. You can utilize your API key in one of two ways. Choose the method that best fits your implementation:
- Authorization Header: Include your API key as an
Authorizationheader in yourPOSTrequests. For instance, before sending aPOSTrequest tohttps://api.sec-api.io/form-s1-424b4, ensure the header is set as follows:Authorization: YOUR_API_KEY. - Query Parameter: Alternatively, append your API key directly to the URL as a query parameter. For example, when making
POSTrequests, use the URLhttps://api.sec-api.io/form-s1-424b4?token=YOUR_API_KEYinstead of the base endpoint.
Request Parameters
You can retrieve structured data extracted from registration statements and prospectuses by sending a search query to the API. All fields of the extracted data are searchable. For a complete list of searchable fields, refer to the Response Structure section below. Send a search query as a JSON-formatted payload to the API using the structure explained below.
Request parameters:
query(string) - Your search criteria. Boolean operators (AND, OR, NOT), range queries across date and number fields, wildcards (*) and search expression grouping are fully supported. The query is written in Lucene syntax and allows you to specify individual fields to search in and what values to search for in the fields. More information on Lucene is available here. Examples:formType:424B4 AND filedAt:[2022-01-01 TO 2022-12-31]returns the structured data from all Form 424B4 prospectuses published in 2022, including January 1st and December 31st.employees.total:>1000returns all Form S-1 and Form 424B4 filings from companies with more than 1,000 employees reported in the filing.- More examples are available below.
from(integer) - Use thefromproperty to specify the starting position of your results, facilitating pagination. For instance, setfromto 50 to skip the first 50 results. The default is 0, and the maximum allowed value is 10,000, which is also the cap for the maximum number of results returned perquery. To retrieve all results in your search universe, incrementfromby the value of thesizeparameter (e.g., 50) until no more results are returned or the 10,000 limit is reached. For example, use 0, 50, 100, and so on. If yourquerylocates more than 10,000 results, consider narrowing your search by refining your filter criteria, such as using a date range filter to iterate over months or years. One approach would be to search for registration statement and prospectuses with afiledAtdate range filter, e.g.,filedAt:[2023-01-01 TO 2023-01-31](all filings from January 2023), then paginate through the results by incrementingfrom, and once completed, repeat the process for the next month, and so on.size(integer) - The number of results to be returned per request. Default: 50. Maximum: 50.sort(array) - An array of objects that specify how the returned results are sorted. The default sorting order is descending by thefiledAtdate, most recent filings first. The sorting order can be changed to ascending by settingordertoasc. The default sorting order can be overridden by specifying a different sorting field. For example, to sort results bypublicOfferingPrice.totalin decending order (highest first), setsortto[{ "publicOfferingPrice.total": { "order": "desc" } }].
Request Examples
Find all extracted data from Form S-1, S-1/A and Form 424B4 filings disclosed between January 1st and December 31st, 2022, with the result sorted by the filing date, starting with the most recent filings.
JSON
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{
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"query": "filedAt:[2022-01-01 TO 2022-12-31]",
3
"from": "0",
4
"size": "50",
5
"sort": [{ "filedAt": { "order": "desc" } }]
6
}
Retrieve all structured data from Alibaba's registration statement (Form S-1 and amended S-1/As) using the formType and ticker fields, with the default sorting order.
JSON
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{
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"query": "formType:\"S-1\" AND ticker:BABA",
3
"from": "0",
4
"size": "50"
5
}
Filter registration statements and prospectuses by the underwriter's name, in this case, Goldman Sachs. The underwriter can either be the lead or a co-manager, and sort the result by the total public offering price, starting with the highest.
JSON
1
{
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"query": "underwriters.name:\"Goldman Sachs\"",
3
"from": "0",
4
"size": "50",
5
"sort": [{ "publicOfferingPrice.total": { "order": "desc" } }]
6
}
Find all structured data from Form 424B4 prospectuses with a public offering price of $100 million or more, sorted by the public offering price in descending order, starting with the highest.
JSON
1
{
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"query": "formType:424B4 AND publicOfferingPrice.total:>100000000",
3
"from": "0",
4
"size": "50",
5
"sort": [{ "publicOfferingPrice.total": { "order": "desc" } }]
6
}
Filter registration statements and prospectuses (excluding S-1/A filings) by the age of the management team. In this case, retrieve all filings with the management team having at least one member of age between 70 and 100 years.
JSON
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{
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"query": "management.age:[70 TO 100] AND NOT formType:\"S-1/A\"",
3
"from": "0",
4
"size": "50",
5
"sort": [{ "management.age": { "order": "desc" } }]
6
}
Response Structure
Response type: JSON
The API response represents a JSON object with two fields: total (object) and data (array). The total.value field indicates the total number of results matching your search query. The data array holds up to 50 items per request, each item representing the extracted data from a registration statement or prospectus filing with the following structure:
id(string) - System-internal unique identifier of the item.accessionNo(string) - Unique accession number of the Form S-1 or Form 424B4 filing, e.g.0001628280-24-023559.filedAt(date) - Date and time at which the filing was accepted by SEC EDGAR for processing, e.g.2024-05-15T16:17:15-04:00.formType(string) - EDGAR form type. Possible values:S-1,S-1/A,424B4.cik(string) - The Central Index Key (CIK) of the issuer, e.g.1318605. Leading zeros are removed.ticker(string) - The trading symbol of the issuer at the time of filing indexation, e.g.TSLAfor Tesla Inc.entityName(string) - The name of the issuer, e.g.TESLA MOTORS INC.filingUrl(string) - The URL to the filing.tickers(array of objects) - List of ticker symbols of the securities, their types and exchanges on which they are traded or being listed on. Each item in the array represents a security offered by the issuer, for example common stock, preferred stock, warrants or debt securities.ticker(string) - The ticker symbol of the security being offered, e.g.TSLA.type(string) - The type of the security being offered, e.g.Common Stock.exchange(string) - The exchange on which the security is traded or being listed on, e.g.NASDAQ.
securities(array of objects) - List of securities offered and referred to in the filing. Each item in the array represents a security type and typically includes the number of shares, warrants, or other securities offered.name(string) - A specific type of security being offered or referred to in the filing, e.g.Up to 3,409,091 Shares of Common Stock, or1,358,350 Pre-Funded Warrants to Purchase 1,358,350 Common Shares
publicOfferingPrice(object) - Information about the public offering price. Note, that not all Form S-1 filings include the public offering price whereas all Form 424B4 filings typically do.perShare(number) - The public offering price per share as a floating number, e.g.10.00. Typically, the price is in US dollars. In rare cases, the price may be in another currency. To check the currency, evaluate theperShareText(string) property, which includes the currency symbol, e.g.,€10.00.perShareText(string) - The public offering price per share as a string, e.g.$10.00.total(number) - The total public offering price as floating number, e.g.152428000.totalText(string) - The total public offering price as a string, e.g.$152,428,000.00.
underwritingDiscount(object) - Information about the underwriting discount. Note, that not all Form S-1 filings include the underwriting discount whereas all Form 424B4 filings do.perShare(number) - The underwriting discount per share as a floating number, e.g.0.40833. Typically, the value is in US dollars. In rare cases, it may be in another currency. To check the currency, evaluate theperShareText(string) property, which includes the currency symbol, e.g.,$0.40833.perShareText(string) - The underwriting discount per share as a string, e.g.$0.40833.total(number) - The total underwriting discount as floating number, e.g.2164149.totalText(string) - The total underwriting discount as a string, e.g.$2,164,149.00.
proceedsBeforeExpenses(object) - Information about the proceeds before expenses to the company. Note, that not all Form S-1 filings include the proceeds before expenses whereas all Form 424B4 filings do.perShare(number) - The proceeds before expenses per share as a floating number, e.g.28.35. Typically, the value is in US dollars. In rare cases, it may be in another currency. To check the currency, evaluate theperShareText(string) property, which includes the currency symbol, e.g.,$28.35.perShareText(string) - The proceeds before expenses per share as a string, e.g.$28.35.total(number) - The total proceeds before expenses to the company as floating number, e.g.150000000.totalText(string) - The total proceeds as a string, e.g.$150,000,000.00.
underwriters(array of objects) - Names of the underwriters involved in the offering. Each item in the array represents one underwriter. The first item typically represents the lead underwriter. Not all registration statements (Form S-1) have underwriters listed. In such cases, subsequent filings (Form S-1/A) may include the underwriters as an amendment as they become known.name(string) - The name of the underwriter, e.g.Goldman Sachs.
lawFirms(array of objects) - Names and locations of the legal council and law firms involved in the offering.name(string) - The name of the law firm, e.g.Wilson Sonsini Goodrich & Rosati.location(string) - The location of the law firm, e.g.California, USA.
auditors(array of objects) - Names of the auditors involved in the offering.name(string) - The name of the auditor, e.g.Deloitte & Touche LLP.
management(array of objects) - Information about the management team, if disclosed in the filing. Each item in the array represents one member of the management team.name(string) - Name of the person, e.g.Elon Musk.age(number) - Age of the person, e.g.50.position(string) - Position of the person in the company, e.g.CEO. Note, the positions are not standardized and may vary between companies. For example, the CEO may be referred to as President, Chief Executive Officer, or CEO.
employees(object) - Information about the number of employees (total, per business unit and per geographical regoin), if disclosed in the filing.total(number) - Total number of employees, e.g.1010.asOfDate(date) - The date as of which the total number of employees was reported, e.g.2022-05-15. If the date is not available, the property is empty.perDivision(array of objects) - Number of employees per business division, if disclosed in the filing. Each item in the array represents one business division.division(string) - Name of the business division, e.g.Research and Development.employees(number) - Number of employees in the business division, e.g.413.
perRegion(array of objects) - Number of employees per geographical region, if disclosed in the filing. Each item in the array represents one geographical region.region(string) - Name of the geographical region, e.g.EuropeorLos Angeles.employees(number) - Number of employees in the geographical region, e.g.56.
Response Example
JSON
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{
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"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"data": [
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{
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"id": "abbd7ae0461b2c6f0c462bd7ac149484",
9
"filedAt": "2024-02-02T16:22:09-05:00",
10
"accessionNo": "0001104659-24-010053",
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"formType": "424B4",
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"cik": "1988894",
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"ticker": "AS",
14
"entityName": "Amer Sports, Inc.",
15
"filingUrl": "https://www.sec.gov/Archives/edgar/data/1988894/000110465924010053/tm2322981-18_424b4.htm",
16
"tickers": [
17
{
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"ticker": "AS",
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"type": "Ordinary Shares",
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"exchange": "NYSE"
21
}
22
],
23
"securities": [
24
{ "name": "105,000,000 Ordinary Shares" }
25
],
26
"publicOfferingPrice": {
27
"perShare": 13,
28
"perShareText": "$13.00",
29
"total": 1365000000,
30
"totalText": "$1,365,000,000"
31
},
32
"underwritingDiscount": {
33
"perShare": 0.455,
34
"perShareText": "$0.455",
35
"total": 47775000,
36
"totalText": "$47,775,000"
37
},
38
"proceedsBeforeExpenses": {
39
"perShare": 12.545,
40
"perShareText": "$12.545",
41
"total": 1317225000,
42
"totalText": "$1,317,225,000"
43
},
44
"underwriters": [
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{ "name": "Goldman Sachs & Co. LLC" },
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{ "name": "BofA Securities, Inc" },
47
// ... more underwriters
48
],
49
"lawFirms": [
50
{
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"name": "Conyers Dill & Pearman",
52
"location": "Cayman Islands"
53
},
54
{
55
"name": "Davis Polk & Wardwell LLP",
56
"location": "New York, United States"
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},
58
// ... more law firms
59
],
60
"auditors": [
61
{ "name": "KPMG AB" }
62
],
63
"management": [
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{
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"name": "Jie (James) Zheng",
66
"age": 55,
67
"position": "Chief Executive Officer and Director Nominee"
68
},
69
{
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"name": "Andrew E. Page",
71
"age": 54,
72
"position": "Chief Financial Officer"
73
},
74
// ... more management team members
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],
76
"employees": {
77
"total": 10800,
78
"asOfDate": "2023-09-30",
79
"perDivision": [],
80
"perRegion": [
81
{
82
"region": "EMEA",
83
"employees": 4500
84
},
85
{
86
"region": "Americas",
87
"employees": 3700
88
},
89
// ... more regions
90
]
91
}
92
}
93
]
94
}
References
For more information about Form S-1 and Form 424B4 filings visit the SEC websites here:
Regulations
- § 230.405 Definitions of terms.
- § 230.415 Delayed or continuous offering and sale of securities.
- § 230.424: Filing of Prospectuses, Number of Copies
- § 230.430 Prospectus for use prior to effective date.
- § 230.462 Immediate effectiveness of certain registration statements and post-effective amendments.
- § 239.11 Form S-1, registration statement under the Securities Act of 1933.
- Regulation S-K
- Regulation S-X
- Securities Act of 1933, Section 5
Research Papers
- Growth Capital-backed IPOs
- The Seven Percent Solution
- Grandstanding, certification and the underpricing of venture capital backed IPOs
- Why Do Firms Switch Underwriters?
- Incentives to Innovate and the Decision to Go Public or Private
- How much prestige is enough? Assessing the value of multiple types of high-status affiliates for young firms
- Equilibrium in the Initial Public Offerings Market
- Strategic IPO Underpricing, Information Momentum, and Lockup Expiration Selling
- Why Has IPO Underpricing Changed over Time?
- The underpricing of initial public offerings and the partial adjustment phenomenon
- Initial Public Offerings and Underwriter Reputation
- Investment banking, reputation, and the underpricing of initial public offerings
- Post-IPO Employment and Revenue Growth for U.S. IPOs, June 1996-2010