Regulation A Offering Statements API
The Regulation A Offering Statements API enables filtering the notifications part (Part I) of Form 1-A, 1-K, and 1-Z filings published on the SEC EDGAR database since 2015. The API accepts search queries as JSON-formatted payload and returns the matching filings in JSON format.
Offering Statements under Regulation A of the Securities Act of 1933 allow smaller companies to access public capital markets without the full regulatory burden of a traditional IPO. Instead of a single SEC "Reg-A" filing, the offering process is segmented into three forms: Form 1-A, Form 1-K, and Form 1-Z. Form 1-A is used for the initial offering statement, Form 1-K for annual reports, and Form 1-Z for exit reports. Those filings provide essential disclosures about the offering and the issuer's financial condition and are submitted electronically via EDGAR.
1
{
2
"id": "f8440d5a849931f9283e4d53e1acc84f",
3
"accessionNo": "0001731122-24-001065",
4
"fileNo": "024-12457",
5
"formType": "1-A",
6
"filedAt": "2024-07-02T16:57:46-04:00",
7
"cik": "1781324",
8
"ticker": "",
9
"companyName": "CONCREIT FUND I LLC",
10
"employeesInfo": [
11
{
12
"issuerName": "Concreit Fund I LLC",
13
"jurisdictionOrganization": "DE",
14
"yearIncorporation": "2019",
15
"cik": "0001781324",
16
"sicCode": 6798,
17
"irsNum": "84-2200971",
18
"fullTimeEmployees": 0,
19
"partTimeEmployees": 0
20
}
21
],
22
"issuerInfo": {
23
"street1": "1201 3rd Avenue",
24
"street2": "Suite 2200",
25
"city": "Seattle",
26
"stateOrCountry": "WA",
27
"zipCode": "98101",
28
"phoneNumber": "206-607-6080",
29
"connectionName": "Saher Hamideh",
30
"industryGroup": "Other",
31
"cashEquivalents": 566500,
32
"investmentSecurities": 7541629,
33
"accountsReceivable": 59921,
34
"propertyPlantEquipment": 0,
35
"totalAssets": 8168050,
36
"accountsPayable": 65597,
37
"longTermDebt": 0,
38
"totalLiabilities": 65597,
39
"totalStockholderEquity": 8102453,
40
"totalLiabilitiesAndEquity": 8168050,
41
"totalRevenues": 628213,
42
"costAndExpensesApplToRevenues": 178952,
43
"depreciationAndAmortization": 0,
44
"netIncome": 449261,
45
"earningsPerShareBasic": 0.06,
46
"earningsPerShareDiluted": 0.06,
47
"nameAuditor": "dbbmckennon LLC"
48
},
49
"commonEquity": [
50
{
51
"commonEquityClassName": "Investor Shares",
52
"outstandingCommonEquity": 8466243,
53
"commonCusipEquity": "000000000",
54
"publiclyTradedCommonEquity": "-"
55
}
56
],
57
"preferredEquity": [
58
{
59
"preferredEquityClassName": "-",
60
"outstandingPreferredEquity": 0,
61
"preferredCusipEquity": "000000000",
62
"publiclyTradedPreferredEquity": "-"
63
}
64
],
65
"debtSecurities": [
66
{
67
"debtSecuritiesClassName": "-",
68
"outstandingDebtSecurities": 0,
69
"cusipDebtSecurities": "000000000",
70
"publiclyTradedDebtSecurities": "-"
71
}
72
],
73
"issuerEligibility": {
74
"certifyIfTrue": true
75
},
76
"applicationRule262": {
77
"certifyIfNotDisqualified": true
78
},
79
"summaryInfo": {
80
"indicateTier1Tier2Offering": "Tier2",
81
"financialStatementAuditStatus": "Audited",
82
"securitiesOfferedTypes": [
83
"Equity (common or preferred stock)"
84
],
85
"offerDelayedContinuousFlag": true,
86
"offeringYearFlag": true,
87
"offeringAfterQualifFlag": false,
88
"offeringBestEffortsFlag": true,
89
"solicitationProposedOfferingFlag": true,
90
"resaleSecuritiesAffiliatesFlag": false,
91
"securitiesOffered": 74150486,
92
"outstandingSecurities": 8742177,
93
"pricePerSecurity": 0.96,
94
"issuerAggregateOffering": 71184467,
95
"securityHolderAggegate": 0,
96
"qualificationOfferingAggregate": 3815533,
97
"concurrentOfferingAggregate": 0,
98
"totalAggregateOffering": 75000000,
99
"salesCommissionsServiceProviderName": "Dalmore Group, LLC",
100
"salesCommissionsServiceProviderFees": 750000,
101
"auditorServiceProviderName": "dbbmckennon LLC",
102
"auditorFees": 40000,
103
"legalServiceProviderName": "Geraci LLP",
104
"legalFees": 10000,
105
"brokerDealerCrdNumber": "000132162"
106
},
107
"juridictionSecuritiesOffered": {
108
"jurisdictionsOfSecOfferedSame": true,
109
"issueJuridicationSecuritiesOffering": [
110
"AL",
111
"AK",
112
"AZ",
113
// cut off for brevity
114
"WI",
115
"WY",
116
"DC"
117
],
118
"dealersJuridicationSecuritiesOffering": [
119
"AL",
120
"AK",
121
"AZ",
122
// cut off for brevity
123
"WI",
124
"WY",
125
"DC"
126
]
127
},
128
"securitiesIssued": [
129
{
130
"securitiesIssuerName": "Concreit Fund I LLC",
131
"securitiesIssuerTitle": "Investor Shares",
132
"securitiesIssuedTotalAmount": 97343,
133
"securitiesPrincipalHolderAmount": 0,
134
"securitiesIssuedAggregateAmount": "$93,449 ($0.96 average price per Investor Share)"
135
}
136
],
137
"unregisteredSecuritiesAct": {
138
"securitiesActExcemption": "Common Shares - Section 4(a)(2) of the Securities Act of 1933; Investor Shares - Rule 506(c) Regulation D"
139
}
140
}
141
Each filing comprises three sections: Part I (Notification): Metadata including issuer details, offering amount, and securities classification. This part is submitted as structured XML documents to the EDGAR system. Part II (Offering Circular): Narrative disclosures covering business operations, risk factors, financial statements, and management. Part III (Exhibits): Supporting documents such as legal opinions, underwriting agreements, and material contracts. For Tier 2 offerings, financial statements must be audited, while Tier 1 offerings may include unaudited financials subject to state-level requirements. This API provides access to the metadata elements of Part I in structured JSON format.
API Endpoints
Search All API
The Search All API allows searching and filtering all types of Form 1-A, 1-K and 1-Z filings published on the SEC EDGAR database since 2015 to present. The API accepts search queries as JSON formatted payload and returns the matching filings in JSON format. The API endpoint is:
Supported HTTP methods: POST
Request and response content type: JSON
Form 1-A Offering Statements API
The Form 1-A API allows searching and filtering all Form 1-A Offering Statement filings, amendments filed in Form 1-A/A and Form 1-A POS, as well as withdrawals filed in Form 1-A-W published on the SEC EDGAR database since 2015 to present. The API accepts search queries as JSON formatted payload and returns the matching filings in JSON format. The API endpoint is:
Supported HTTP methods: POST
Request and response content type: JSON
Form 1-K Annual Reports API
The Form 1-K API allows searching and filtering all Form 1-K Annual Report filings as well as amendments filed in Form 1-K/A published on the SEC EDGAR database since 2015 to present. The API accepts search queries as JSON formatted payload and returns the matching filings in JSON format. The API endpoint is:
Supported HTTP methods: POST
Request and response content type: JSON
Form 1-Z Exit Reports API
The Form 1-Z API allows searching and filtering all Form 1-Z Exit Report filings as well as amendments filed in Form 1-Z/A published on the SEC EDGAR database since 2015 to present. The API accepts search queries as JSON formatted payload and returns the matching filings in JSON format. The API endpoint is:
Supported HTTP methods: POST
Request and response content type: JSON
Authentication
To authenticate API requests, use the API key displayed in your user profile. Utilize the API key in one of two ways. Choose the method that best fits your use case:
- Authorization Header: Set the API key as an
Authorizationheader. For instance, before sending aPOSTrequest tohttps://api.sec-api.io/reg-a/search, ensure the header is set as follows:Authorization: YOUR_API_KEY. Do not include any prefix likeBearer. - 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/reg-a/search?token=YOUR_API_KEYinstead of the base endpoint.
General Request Structure
The following request parameters are supported:
query(string) - The search criteria in the formatfield:valuedefining thefieldto search in and thevalueto search for in this field. The search expression is written in Lucene syntax and supportsANDandORoperators. Examples:cik:4568orfiledAt:[2019-01-01 TO 2022-12-31].from(integer) - Pagination control to specify the starting position of the results. Max: 10000. Default: 0.size(integer) - The number of Reg A filings to be returned in one response. Default: 50. Max: 50.sort(array) - Specifies the field by which results should be sorted. By default, results are sorted byfiledAtin descending order, starting with the most recent filings:[{ "filedAt": { "order": "desc" } }]
Example Request
Find the two most recently filings submitted filings for the company with CIK 1277575.
Further request examples can be found in the respective sections for the Search All, Form 1-A, Form 1-K and Form 1-Z APIs.
General Response Structure
When the API locates matches within the Reg A database, it returns a JSON response including two fields: total and data. The value field inside the total object indicates the total number of Form 1-A/1-K/1-Z filings that match the search criteria, while the data field contains an array of Form 1-A, 1-K and 1-Z filing objects that match the query. The maximum number of metadata objects inside thedata array is determined by the size and limited to 50. Each filing of the different filing types comprise different fields which are described in the following sections for Form 1-A, Form 1-K and Form 1-Z.
Search All API
This API combines all of Regulation A filings under a single searchable endpoint - especially useful to find all offering filings for a single company (search by cik) or a single offering campaign (search by fileNo).
Request Examples
Find all Offering Statement, Annual Report and Exit Report filings for the company with cik 1277575.
Find all Offering Statement, Annual Report and Exit Report filings for the offering process filed in the EDGAR system under filing number 24R-00102. This is a good way to find related filings.
Response Structure
When the Search All API locates matches within the Reg A database, it returns the JSON objects with the fields depending on the filing type as described in the following sections for Form 1-A, Form 1-K and Form 1-Z filings.
Form 1-A Offering Statements API
Request Examples
Find all Form 1-A filings for companies incorporated in the year 2017 and list the 10 most recent filings.
Find all Form 1-A filings with an aggregated offering amount larger than $1,000,000 and list the 10 most recent filings.
Response Structure
Each Form 1-A, 1-A/A and 1-A POS filing comprises the following fields. Please note that the Form 1-A-W do not contain any structured data in the SEC EDGAR system. This API therefore only returns the first seven metadata fields listed below (id through companyName).
id(string) - System-internal unique identifier of the filing record.accessionNo(string) - Unique accession number of the Form 1-A filing, e.g.0001731122-24-001065.fileNo(string) - Unique identifier used to reference and track filings of the same process, e.g.020-34763formType(string) - The form type of the SEC filing. Possible Values:1-A,1-A/A,1-A POSfiledAt(date) - The timestamp when the filing was accepted by SEC EDGAR, e.g.2024-05-15T16:17:15-04:00.periodOfReport(date) - The reporting period covered by this Form 1-A submission. Format:YYYY-MM-DD, e.g.2024-06-30. In annual reports this corresponds to the fiscal year end.cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.ticker(string) - If the filer represents a publicly traded company, the stock ticker symbol of the filer at the time of filing.companyName(string) - The legal name of the issuer as provided in the filing, e.g.ALPHABET INC.employeesInfo(object)issuerName(string) - The registered name of the issuer as stated in its charter.jurisdictionOrganization(string) - The jurisdiction under which the issuer is organized or incorporated.yearIncorporation(string) - The year the issuer was incorporated.cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.sicCode(number) - The Standard Industrial Classification (SIC) code representing the issuer’s primary business activity.irsNum(string) - The issuer’s IRS Employer Identification Number.fullTimeEmployees(number) - Total number of full-time employees as reported by the issuer.partTimeEmployees(number) - Total number of part-time employees as reported by the issuer.
issuerInfo(object)street1(string) - Primary street address of the issuer’s principal executive offices.street2(string) - Secondary address line for the issuer’s principal executive offices.city(string) - City where the issuer’s principal office is located.stateOrCountry(string) - State or country of the issuer’s principal office address.zipCode(string) - Postal code for the issuer’s principal office.phoneNumber(string) - Telephone number for the issuer’s principal office.connectionName(string) - Name of the primary contact for correspondence regarding the filing.connectionStreet1(string) - Primary street address for the designated contact.connectionStreet2(string) - Secondary address line for the designated contact.connectionCity(string) - City of the contact person’s address.connectionStateOrCountry(string) - State or country of the contact person’s address.connectionZipCode(string) - Postal code for the contact person’s address.connectionPhoneNumber(string) - Telephone number of the designated contact.commentsEmailAddress(object) - Email address for receiving comments or queries about the filing.industryGroup(string) - Industry group classification for the issuer as defined by SEC guidelines. Possible Values:Banking,Insurance,OthercashEquivalents(number) - Reported value of cash and cash equivalents on the balance sheet.investmentSecurities(number) - Value of investment securities held by the issuer.totalInvestments(number) - Total value of all investments reported by the issuer.accountsReceivable(number) - Total accounts receivable as reported in the financial statements.loans(number) - Value of loans reported by the issuer.propertyPlantEquipment(number) - Value of property, plant, and equipment as reported on the balance sheet.propertyAndEquipment(number) - Combined value of property and equipment reported by the issuer.totalAssets(number) - Total assets reported in the issuer’s financial statements.accountsPayable(number) - Total accounts payable as reported in the financial statements.policyLiabilitiesAndAccruals(number) - Total policy liabilities and accruals reported by the issuer.deposits(number) - Reported value of deposits on the balance sheet.longTermDebt(number) - Total long-term debt obligations reported by the issuer.totalLiabilities(number) - Total liabilities reported in the issuer’s financial statements.totalStockholderEquity(number) - Total stockholder equity reported in the financial statements.totalLiabilitiesAndEquity(number) - Combined total of liabilities and stockholder equity.totalRevenues(number) - Total revenues generated during the reporting period.totalInterestIncome(number) - Total interest income reported by the issuer.costAndExpensesApplToRevenues(number) - Total costs and expenses allocated to revenues.totalInterestExpenses(number) - Total interest expenses incurred by the issuer.depreciationAndAmortization(number) - Depreciation and amortization expenses reported.netIncome(number) - Net income as reported in the financial statements.earningsPerShareBasic(number) - Basic earnings per share calculated from the financial statements.earningsPerShareDiluted(number) - Diluted earnings per share calculated from the financial statements.nameAuditor(string) - Name of the auditor responsible for auditing the issuer’s financial statements.
commonEquity(object)commonEquityClassName(string) - Designation or name of the common equity class.outstandingCommonEquity(number) - Number of common equity shares outstanding.commonCusipEquity(string) - CUSIP identifier for the common equity class.publiclyTradedCommonEquity(string) - Indicator specifying whether the common equity is publicly traded.
preferredEquity(object)preferredEquityClassName(string) - Designation or name of the preferred equity class.outstandingPreferredEquity(number) - Number of preferred equity shares outstanding.preferredCusipEquity(string) - CUSIP identifier for the preferred equity class.publiclyTradedPreferredEquity(string) - Indicator specifying whether the preferred equity is publicly traded.
debtSecurities(object)debtSecuritiesClassName(string) - Designation or name of the debt securities class.outstandingDebtSecurities(number) - Total amount of debt securities outstanding.cusipDebtSecurities(string) - CUSIP identifier for the debt securities.publiclyTradedDebtSecurities(string) - Indicator specifying whether the debt securities are publicly traded.
issuerEligibility(object)certifyIfTrue(boolean) - Certification flag confirming that the issuer meets the SEC’s eligibility requirements.
applicationRule262(object)certifyIfNotDisqualified(boolean) - Certification that the issuer is not disqualified under SEC Rule 262.certifyIfBadActor(boolean) - Indicator flag for any 'bad actor' disqualifications under SEC regulations.
summaryInfo(object)indicateTier1Tier2Offering(string) - Indicator specifying if the offering is classified as Tier 1 or Tier 2. Possible Values:Tier1,Tier2financialStatementAuditStatus(string) - Status indicating whether the financial statements are audited or unaudited. Possible Values:Unaudited,AuditedsecuritiesOfferedTypes(string) - Keyword list of types of securities offered (e.g., equity, debt). Possible Values:Equity (common or preferred stock),Debt,Option, warrant or other right to acquire another security,Security to be acquired upon exercise of option, warrant or other right to acquire security,Tenant-in-common securities,Other(describe)securitiesOfferedOtherDesc(string) - Additional descriptive details for securities offered when categorized as 'Other'.offerDelayedContinuousFlag(boolean) - Boolean flag indicating if the offering is delayed or continuous.offeringYearFlag(boolean) - Boolean flag indicating if the offering is tied to a specific offering year.offeringAfterQualifFlag(boolean) - Boolean flag indicating if the offering follows qualification.offeringBestEffortsFlag(boolean) - Boolean flag indicating if the offering is conducted on a best efforts basis.solicitationProposedOfferingFlag(boolean) - Boolean flag indicating if the offering involves solicitation efforts.resaleSecuritiesAffiliatesFlag(boolean) - Boolean flag indicating if the securities offered include those for resale by affiliates.securitiesOffered(number) - Total number of securities offered in the transaction.outstandingSecurities(number) - Total number of securities currently outstanding.pricePerSecurity(number) - Offering price per individual security.issuerAggregateOffering(number) - Aggregate monetary value of the securities offered by the issuer.securityHolderAggegate(number) - Aggregate value of securities held by existing security holders.qualificationOfferingAggregate(number) - Aggregate amount for securities offered as part of the qualification process.concurrentOfferingAggregate(number) - Aggregate amount for any concurrent offerings.totalAggregateOffering(number) - Total aggregate value of the offering.underwritersServiceProviderName(string) - Name of the underwriter or service provider managing the offering.underwritersFees(number) - Fees charged by the underwriters for their services.salesCommissionsServiceProviderName(string) - Name of the service provider handling sales commissions.salesCommissionsServiceProviderFees(number) - Fees associated with sales commissions services.findersFeesServiceProviderName(string) - Name of the service provider for finder’s fees.finderFeesFee(number) - Fee charged for finder’s services.auditorServiceProviderName(string) - Name of the service provider for auditing services.auditorFees(number) - Fees associated with auditor services.legalServiceProviderName(string) - Name of the legal services provider involved in the offering.legalFees(number) - Fees associated with legal services.promotersServiceProviderName(string) - Name of the service provider for promotional activities.promotersFees(number) - Fees charged for promotional services.blueSkyServiceProviderName(string) - Name of the Blue Sky compliance service provider.blueSkyFees(number) - Fees associated with Blue Sky compliance services.brokerDealerCrdNumber(string) - CRD number assigned to the broker-dealer involved in the offering.estimatedNetAmount(number) - Estimated net proceeds to be received by the issuer after deductions.clarificationResponses(string) - Additional clarification or responses regarding the offering details.
juridictionSecuritiesOffered(object)jurisdictionsOfSecOfferedNone(boolean) - Boolean indicator showing if no jurisdictions are specified for the securities offering.jurisdictionsOfSecOfferedSame(boolean) - Boolean indicator showing if the same jurisdictions apply across the offering.issueJuridicationSecuritiesOffering(string) - List of jurisdictions applicable to the issuance of the securities offering.dealersJuridicationSecuritiesOffering(string) - List of jurisdictions applicable to dealers involved in the securities offering.
unregisteredSecurities(object)ifUnregsiteredNone(boolean) - Boolean indicator showing if no unregistered securities have been issued.
securitiesIssued(object)securitiesIssuerName(string) - Name of the issuer of the securities that have been issued.securitiesIssuerTitle(string) - Title or position of the issuer in relation to the issued securities.securitiesIssuedTotalAmount(number) - Total amount of securities that have been issued.securitiesPrincipalHolderAmount(number) - Amount of securities held by the principal security holder.securitiesIssuedAggregateAmount(string) - Aggregate amount of securities issued.aggregateConsiderationBasis(string) - Basis on which the aggregate consideration for the issued securities is calculated.
unregisteredSecuritiesAct(object)securitiesActExcemption(string) - Exemption details under the Securities Act applicable to unregistered securities.
Response Example - Form 1-A Offering Statement
1
{
2
"total": {
3
"value": 8586,
4
"relation": "eq"
5
},
6
"data": [
7
{
8
"id": "f8440d5a849931f9283e4d53e1acc84f",
9
"accessionNo": "0001731122-24-001065",
10
"fileNo": "024-12457",
11
"formType": "1-A",
12
"filedAt": "2024-07-02T16:57:46-04:00",
13
"cik": "1781324",
14
"ticker": "",
15
"companyName": "CONCREIT FUND I LLC",
16
"employeesInfo": [
17
{
18
"issuerName": "Concreit Fund I LLC",
19
"jurisdictionOrganization": "DE",
20
"yearIncorporation": "2019",
21
"cik": "0001781324",
22
"sicCode": 6798,
23
"irsNum": "84-2200971",
24
"fullTimeEmployees": 0,
25
"partTimeEmployees": 0
26
}
27
],
28
"issuerInfo": {
29
"street1": "1201 3rd Avenue",
30
"street2": "Suite 2200",
31
"city": "Seattle",
32
"stateOrCountry": "WA",
33
"zipCode": "98101",
34
"phoneNumber": "206-607-6080",
35
"connectionName": "Saher Hamideh",
36
"industryGroup": "Other",
37
"cashEquivalents": 566500,
38
"investmentSecurities": 7541629,
39
"accountsReceivable": 59921,
40
"propertyPlantEquipment": 0,
41
"totalAssets": 8168050,
42
"accountsPayable": 65597,
43
"longTermDebt": 0,
44
"totalLiabilities": 65597,
45
"totalStockholderEquity": 8102453,
46
"totalLiabilitiesAndEquity": 8168050,
47
"totalRevenues": 628213,
48
"costAndExpensesApplToRevenues": 178952,
49
"depreciationAndAmortization": 0,
50
"netIncome": 449261,
51
"earningsPerShareBasic": 0.06,
52
"earningsPerShareDiluted": 0.06,
53
"nameAuditor": "dbbmckennon LLC"
54
},
55
"commonEquity": [
56
{
57
"commonEquityClassName": "Investor Shares",
58
"outstandingCommonEquity": 8466243,
59
"commonCusipEquity": "000000000",
60
"publiclyTradedCommonEquity": "-"
61
}
62
],
63
"preferredEquity": [
64
{
65
"preferredEquityClassName": "-",
66
"outstandingPreferredEquity": 0,
67
"preferredCusipEquity": "000000000",
68
"publiclyTradedPreferredEquity": "-"
69
}
70
],
71
"debtSecurities": [
72
{
73
"debtSecuritiesClassName": "-",
74
"outstandingDebtSecurities": 0,
75
"cusipDebtSecurities": "000000000",
76
"publiclyTradedDebtSecurities": "-"
77
}
78
],
79
"issuerEligibility": {
80
"certifyIfTrue": true
81
},
82
"applicationRule262": {
83
"certifyIfNotDisqualified": true
84
},
85
"summaryInfo": {
86
"indicateTier1Tier2Offering": "Tier2",
87
"financialStatementAuditStatus": "Audited",
88
"securitiesOfferedTypes": [
89
"Equity (common or preferred stock)"
90
],
91
"offerDelayedContinuousFlag": true,
92
"offeringYearFlag": true,
93
"offeringAfterQualifFlag": false,
94
"offeringBestEffortsFlag": true,
95
"solicitationProposedOfferingFlag": true,
96
"resaleSecuritiesAffiliatesFlag": false,
97
"securitiesOffered": 74150486,
98
"outstandingSecurities": 8742177,
99
"pricePerSecurity": 0.96,
100
"issuerAggregateOffering": 71184467,
101
"securityHolderAggegate": 0,
102
"qualificationOfferingAggregate": 3815533,
103
"concurrentOfferingAggregate": 0,
104
"totalAggregateOffering": 75000000,
105
"salesCommissionsServiceProviderName": "Dalmore Group, LLC",
106
"salesCommissionsServiceProviderFees": 750000,
107
"auditorServiceProviderName": "dbbmckennon LLC",
108
"auditorFees": 40000,
109
"legalServiceProviderName": "Geraci LLP",
110
"legalFees": 10000,
111
"brokerDealerCrdNumber": "000132162"
112
},
113
"juridictionSecuritiesOffered": {
114
"jurisdictionsOfSecOfferedSame": true,
115
"issueJuridicationSecuritiesOffering": [
116
"AL",
117
"AK",
118
"AZ",
119
// cut off for brevity
120
"WI",
121
"WY",
122
"DC"
123
],
124
"dealersJuridicationSecuritiesOffering": [
125
"AL",
126
"AK",
127
"AZ",
128
// cut off for brevity
129
"WI",
130
"WY",
131
"DC"
132
]
133
},
134
"securitiesIssued": [
135
{
136
"securitiesIssuerName": "Concreit Fund I LLC",
137
"securitiesIssuerTitle": "Investor Shares",
138
"securitiesIssuedTotalAmount": 97343,
139
"securitiesPrincipalHolderAmount": 0,
140
"securitiesIssuedAggregateAmount": "$93,449 ($0.96 average price per Investor Share)"
141
}
142
],
143
"unregisteredSecuritiesAct": {
144
"securitiesActExcemption": "Common Shares - Section 4(a)(2) of the Securities Act of 1933; Investor Shares - Rule 506(c) Regulation D"
145
}
146
},
147
// cut off for brevity
148
]
149
}
150
Form 1-K Annual Reports API
Request Example
Find all Form 1-K Annual Report filings which state that less than 7,500 securities of the offering were sold up to the filing date and list the 5 most recent filings.
Response Structure
Each Form 1-K and 1-K/A filing comprises the following fields:
id(string) - System-internal unique identifier of the filing record.accessionNo(string) - Unique accession number of the Form 1-K filing, e.g.0001213900-25-007971.fileNo(string) - Unique identifier used to reference and track filings of the same process, e.g.020-34763formType(string) - The form type of the SEC filing. Possible Values:1-K,1-K/AfiledAt(date) - The timestamp when the filing was accepted by SEC EDGAR, e.g.2024-05-15T16:17:15-04:00.periodOfReport(date) - The reporting period covered by this Form 1-K submission. Format:YYYY-MM-DD, e.g.2024-06-30. In annual reports this corresponds to the fiscal year end.cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.ticker(string) - If the filer represents a publicly traded company, the stock ticker symbol of the filer at the time of filing.companyName(string) - The legal name of the issuer as provided in the filing, e.g.ALPHABET INC.item1(object)formIndication(string) - Specifies the report type, indicating whether the filing is an Annual Report or a Special Financial Report as defined by the Form Indication Type. Possible Values:Annual Report,Special Financial Report for the fiscal yearfiscalYearEnd(date) - Represents the end date of the issuer’s fiscal year covered by the filing. The date string format isMM-DD-YYYY, e.g.06-30-2024.street1(string) - Primary street address of the issuer’s principal executive offices.street2(string) - Secondary address information for the issuer’s principal executive offices, if applicable.city(string) - City where the issuer’s principal executive offices are located.stateOrCountry(string) - State or country corresponding to the issuer’s address.zipCode(string) - Postal code for the issuer’s principal executive offices.phoneNumber(string) - Primary contact phone number for the issuer’s principal executive offices.issuedSecuritiesTitle(string) - Designation or title of the class of securities issued under Regulation A.
item1Info(object)issuerName(string) - Official name of the issuer as registered with the SEC.cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.jurisdictionOrganization(string) - The jurisdiction under which the issuer is incorporated or organized.irsNum(string) - The issuer’s Internal Revenue Service (IRS) identification number.
item2(object)regArule257(boolean) - Boolean flag indicating whether the issuer complies with Regulation A Rule 257.
summaryInfo(object)commissionFileNumber(string) - The SEC commission file number associated with the offering statement.offeringQualificationDate(date) - The date on which the offering statement was qualified under Regulation A. The date string format isMM-DD-YYYY, e.g.06-30-2024.offeringCommenceDate(date) - The date marking the commencement of the securities offering. The date string format isMM-DD-YYYY, e.g.06-30-2024.qualifiedSecuritiesSold(number) - Quantity of securities that were qualified for sale in the offering.offeringSecuritiesSold(number) - Quantity of securities that were actually sold during the offering.pricePerSecurity(number) - The unit price at which each security was offered.aggregrateOfferingPrice(number) - Total aggregate sales price for securities sold by the issuer.aggregrateOfferingPriceHolders(number) - Total aggregate sales price for securities sold on behalf of selling securityholders.underwrittenSpName(string) - Name of the underwriter or underwriting service provider involved in the offering.underwriterFees(number) - Fees charged by the underwriter for their services in the offering.salesCommissionsSpName(string) - Name of the service provider responsible for sales commissions in the offering.salesCommissionsFee(number) - Fee amount charged as sales commission for the securities offering.findersSpName(string) - Name of the service provider handling finders’ fees for the offering.findersFees(number) - Fee amount associated with finders’ services in the offering.auditorSpName(string) - Name of the auditor or auditing service provider for the financial statements.auditorFees(number) - Fees charged for auditing services related to the filing.legalSpName(string) - Name of the legal counsel or law firm responsible for legal services.legalFees(number) - Fee amount charged for legal services related to the offering.promoterSpName(string) - Name of the promoter or promotional service provider involved in the offering.promotersFees(number) - Fee amount charged for promotional services in connection with the offering.blueSkySpName(string) - Name of the service provider responsible for Blue Sky compliance.blueSkyFees(number) - Fees associated with Blue Sky compliance services.crdNumberBrokerDealer(string) - CRD number identifying the broker or dealer involved in the offering.issuerNetProceeds(number) - The net proceeds received by the issuer after deducting fees and expenses.clarificationResponses(string) - Additional clarifications or responses provided regarding the offering details.
Response Example - Form 1-K Annual Report
1
{
2
"total": {
3
"value": 2083,
4
"relation": "eq"
5
},
6
"data": [
7
{
8
"id": "cec6fef4a4a372a01f1ceeefbcc26329",
9
"accessionNo": "0001493152-25-005355",
10
"fileNo": "24R-00810",
11
"formType": "1-K",
12
"filedAt": "2025-02-07T13:25:17-05:00",
13
"periodOfReport": "2022-12-31",
14
"cik": "1691249",
15
"ticker": "",
16
"companyName": "Iremedy Healthcare Companies, Inc.",
17
"item1": {
18
"formIndication": "Annual Report",
19
"fiscalYearEnd": "12-31-2022",
20
"street1": "7118 South Kanner Highway",
21
"city": "STUART",
22
"stateOrCountry": "FL",
23
"zipCode": "34997",
24
"phoneNumber": "407-395-4283",
25
"issuedSecuritiesTitle": ["Common"]
26
},
27
"item1Info": [
28
{
29
"issuerName": "The iRemedy Healthcare Companies, Inc.",
30
"cik": "0001691249",
31
"jurisdictionOrganization": "DE",
32
"irsNum": "26-0255855"
33
}
34
],
35
"item2": { "regArule257": true }
36
},
37
// cut off for brevity
38
]
39
}
40
Form 1-Z Exit Reports API
Request Example
Find all Form 1-Z Exit Report filings which state that the issuer's net proceeds from the offering were larger than $20,000,000 and list the 5 most recent filings.
Response Structure
Each Form 1-K and 1-K/A filing comprises the following fields:
id(string) - System-internal unique identifier of the filing record.accessionNo(string) - Unique accession number of the Form 1-Z filing, e.g.0001768126-25-000006.fileNo(string) - Unique identifier used to reference and track filings of the same process, e.g.020-34763formType(string) - The form type of the SEC filing. Possible Values:1-Z,1-Z/AfiledAt(date) - The timestamp when the filing was accepted by SEC EDGAR, e.g.2024-05-15T16:17:15-04:00.periodOfReport(date) - The reporting period covered by this Form 1-Z submission. Format:YYYY-MM-DD, e.g.2024-06-30. In annual reports this corresponds to the fiscal year end.cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.ticker(string) - If the filer represents a publicly traded company, the stock ticker symbol of the filer at the time of filing.companyName(string) - The legal name of the issuer as provided in the filing, e.g.ALPHABET INC.item1(object)issuerName(string) - The exact legal name of the issuer as specified in its charter.street1(string) - Primary street address of the issuer's principal executive office.street2(string) - Secondary street address or suite information for the issuer's principal executive office, if applicable.city(string) - City where the issuer's principal executive office is located.stateOrCountry(string) - State or country where the issuer's principal executive office is located.zipCode(string) - Postal code for the issuer's principal executive office.phone(string) - Contact phone number for the issuer's principal executive office.commissionFileNumber(string) - Commission file number assigned to the issuer per SEC filing requirements.
summaryInfoOffering(object)offeringQualificationDate(date) - Date on which the offering statement was qualified. The date string format isMM-DD-YYYY, e.g.06-30-2024.offeringCommenceDate(date) - Date when the offering commenced. The date string format isMM-DD-YYYY, e.g.06-30-2024.offeringSecuritiesQualifiedSold(number) - Amount of securities that were qualified for sale in the offering.offeringSecuritiesSold(number) - Total number of securities actually sold in the offering.pricePerSecurity(number) - Price assigned to each security in the offering.portionSecuritiesSoldIssuer(number) - Portion of total securities sales attributable to the issuer’s own sales efforts.portionSecuritiesSoldSecurityholders(number) - Portion of total securities sales attributable to selling securityholders.underwrittenSpName(string) - Name of the underwriter service provider for the offering.underwriterFees(number) - Fee amount charged by the underwriter service provider.salesCommissionsSpName(string) - Name of the service provider managing sales commissions.salesCommissionsFee(number) - Fee amount charged for sales commissions services.findersSpName(string) - Name of the finder's service provider involved in the offering.findersFees(number) - Fee amount charged by the finder’s service provider.auditorSpName(string) - Name of the auditor service provider engaged for the offering.auditorFees(number) - Fee amount charged by the auditor service provider.legalSpName(string) - Name of the legal service provider retained for the offering.legalFees(number) - Legal fee amount charged by the service provider.promoterSpName(string) - Name of the promoter service provider associated with the offering.promotersFees(number) - Promotional fee amount charged by the promoter service provider.blueSkySpName(string) - Name of the Blue Sky compliance service provider, if applicable.blueSkyFees(number) - Fee amount related to Blue Sky compliance services.crdNumberBrokerDealer(string) - CRD number of the broker-dealer associated with the offering.issuerNetProceeds(number) - Net proceeds received by the issuer after deducting fees and expenses.clarificationResponses(string) - Additional clarifications or responses provided regarding the offering.
certificationSuspension(object)securitiesClassTitle(string) - Title of the class of securities covered by the exit report.certificationFileNumber(string) - Commission file number linked to the certification of suspension.approxRecordHolders(number) - Approximate number of record holders as of the certification date.
signatureTab(object)cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.regulationIssuerName1(string) - Primary regulation issuer name as recorded in the filing.regulationIssuerName2(string) - Secondary regulation issuer name, if applicable.signatureBy(string) - Name of the individual signing the document on behalf of the issuer.date(date) - Date when the document was signed. The date string format isMM-DD-YYYY, e.g.06-30-2024.title(string) - Title or position of the signatory within the issuer's organization.
Response Example - Form 1-Z Exit Report
1
{
2
"total": {
3
"value": 316,
4
"relation": "eq"
5
},
6
"data": [
7
{
8
"id": "e42d19df4fdba2666a5d451626b373de",
9
"accessionNo": "0001768126-25-000006",
10
"fileNo": "24R-00102",
11
"formType": "1-Z",
12
"filedAt": "2025-01-08T19:04:17-05:00",
13
"cik": "1768126",
14
"ticker": "RRVCS",
15
"companyName": "RSE Archive, LLC",
16
"item1": {
17
"issuerName": "RSE Archive, LLC",
18
"street1": "46 HOWARD ST",
19
"street2": "STE 215",
20
"city": "NEW YORK",
21
"stateOrCountry": "NY",
22
"zipCode": "10013",
23
"phone": "2127293820",
24
"commissionFileNumber": [
25
"024-11967",
26
"024-11057"
27
]
28
},
29
"certificationSuspension": [
30
{
31
"securitiesClassTitle": "All series membership interests of RSE Archive, LLC",
32
"certificationFileNumber": [
33
"024-11057"
34
],
35
"approxRecordHolders": 0
36
}
37
],
38
"signatureTab": [
39
{
40
"cik": "0001768126",
41
"regulationIssuerName1": "RSE Archive, LLC",
42
"regulationIssuerName2": "RSE Archive, LLC",
43
"signatureBy": "Christopher Bruno",
44
"date": "01-08-2025",
45
"title": "CEO, Rally Holdings LLC, its managing member"
46
}
47
]
48
},
49
// cut off for brevity
50
]
51
}
52
Regulation A Filing Types
The following table provides an overview of different SEC filing types used in offering statements under Regulation A.
| Form Type | Description |
|---|---|
| 1-A | Offering statement under Regulation A |
| 1-A/A | Pre-qualification amendment for offering statement under Regulation A |
| 1-A POS | Post-qualification amendment to a 1-A offering statement |
| 1-A-W | Withdrawal of offering statement under Regulation A |
| 1-K | Annual Report Pursuant to Regulation A |
| 1-K/A | Amendment to Annual Report Pursuant to Regulation A |
| 1-Z | Exit Report under Regulation A |
| 1-Z/A | 1-Z/A: Amendment to Exit Report under Regulation A |
FAQ
Common questions about querying the Regulation A Offering Statements API, the response shape, and the bulk archives.
How do I look up all Regulation A offering filings for a specific company using its SEC identifier?
Use the Search All endpoint at /reg-a/search, which combines Form 1-A offering statements, Form 1-K annual reports, and Form 1-Z exit reports under a single searchable index. To pull every Regulation A filing made by one company, filter on the company's Central Index Key (cik), the unique identifier the SEC assigns to each filer. For example, Knightscope, Inc. carries CIK 1600983. The endpoint matches the value with leading zeros omitted.
The response returns a total.value count of matching filings and a data array of filing objects. Because the three form types carry different field structures, each entry can be told apart by its formType value. Sort the results by filing timestamp (filedAt) in descending order to see the company's most recent Regulation A activity first.
How can I retrieve every filing tied to a single Reg A offering campaign so I can trace it from launch to exit?
Use the Search All endpoint at /reg-a/search and filter on the EDGAR file number (fileNo). The file number is the identifier that links every filing of the same offering process together, so searching by it returns the initial Form 1-A offering statement, any 1-A/A or 1-A POS amendments, the Form 1-K annual reports, and the Form 1-Z exit report for one campaign. An example value is 24R-00102.
Note that the file number format differs by form stage: offering statements use a number like 024-12457, while annual and exit reports use a 24R- prefixed number such as 24R-00810. To trace a full campaign you may need to match on the file numbers that appear across the related filings. Sorting the results by filing timestamp (filedAt) in ascending order arranges them from the offering launch through to the exit report.
How do I find the most recent Regulation A offering statements filed in a given date range?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the filing acceptance timestamp (filedAt), restricting it so the date falls between your chosen start and end dates, for example between 2024-01-01 and 2024-03-31. The filedAt field records when EDGAR accepted the filing, in a timestamp format such as 2024-07-02T16:57:46-04:00.
To get the newest filings first, sort the results by filedAt in descending order, which is also the default sort. If you want offering statements together with annual and exit reports in the same date window, run the same date filter against the Search All endpoint at /reg-a/search instead.
How can I pull a specific filing when I already know its accession number?
Use the Search All endpoint at /reg-a/search and filter on the accession number (accessionNo), the unique identifier EDGAR assigns to each individual filing, formatted like 0001731122-24-001065. Matching on this single value returns the one filing that carries it.
If you already know the filing is a particular form type, you can run the same accessionNo filter against the form-specific endpoint instead — /reg-a/form-1a for offering statements, /reg-a/form-1k for annual reports, or /reg-a/form-1z for exit reports. The response still returns the standard total and data structure, with the single matching filing inside the data array.
How do I find the initial offering statement for a company versus its later amendments?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the form type (formType). The original offering statement carries the value 1-A, a pre-qualification amendment carries 1-A/A, and a post-qualification amendment carries 1-A POS. To isolate just the initial statement, the formType should be 1-A; to find only amendments, it should be 1-A/A or 1-A POS.
To see the original and its amendments for one company together, combine the form type filter with the company's Central Index Key (cik) and sort by filing timestamp (filedAt) in ascending order so the initial statement appears first, followed by its amendments in the order they were filed. Filings of the same offering also share an EDGAR file number (fileNo), which links amendments back to the original.
How do I list companies that withdrew their Regulation A offering before it was qualified?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the form type (formType) with the value 1-A-W, which is the withdrawal of an offering statement under Regulation A. Filing this form indicates the issuer pulled the offering rather than carrying it through to qualification.
Form 1-A-W filings do not contain structured data in the EDGAR system, so these records only populate the first seven metadata fields: the record id, the accession number (accessionNo), the file number (fileNo), the formType, the filing timestamp (filedAt), the issuer's Central Index Key (cik), and the company name (companyName). The financial, offering, and jurisdiction objects are absent for this form type.
How can I find Regulation A annual reports for a particular fiscal year?
Use the Form 1-K endpoint at /reg-a/form-1k, which serves the annual reports filed under Regulation A. Each annual report records the reporting period it covers in the period of report field (periodOfReport), formatted as YYYY-MM-DD, which corresponds to the issuer's fiscal year end — for example 2023-12-31. To find reports for a specific fiscal year, the periodOfReport should fall within that year.
The fiscal year end is also stated separately inside the Item 1 object (item1.fiscalYearEnd), in MM-DD-YYYY format such as 12-31-2023. The Item 1 object additionally carries the report type indicator (item1.formIndication), which distinguishes a regular Annual Report from a Special Financial Report for the fiscal year.
How do I identify which Regulation A offerings have closed and filed an exit report?
Use the Form 1-Z endpoint at /reg-a/form-1z, which serves the exit reports filed under Regulation A. An issuer files Form 1-Z to report the conclusion of an offering and to suspend its ongoing reporting obligations, so the presence of a 1-Z filing identifies an offering that has closed. The form type (formType) value is 1-Z for the exit report itself and 1-Z/A for an amendment to it.
Each exit report carries final offering figures inside the offering summary object (summaryInfoOffering), including the total securities actually sold (summaryInfoOffering.offeringSecuritiesSold) and the issuer's net proceeds (summaryInfoOffering.issuerNetProceeds). To find the exit report for a specific company, filter on its Central Index Key (cik); to find it for a specific offering campaign, filter on the file number (fileNo).
How do I separate large offerings that must provide audited financials from smaller offerings that may not?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the tier indicator inside the offering summary object (summaryInfo.indicateTier1Tier2Offering). Tier 2 offerings, where this field equals Tier2, are the larger offerings and are required to include audited financial statements. Tier 1 offerings, where the field equals Tier1, are the smaller offerings and may include unaudited financials subject to state-level requirements.
The audit status itself is recorded separately in the same object as the financial statement audit status (summaryInfo.financialStatementAuditStatus), which takes the value Audited or Unaudited. Filtering on the tier separates offerings by their disclosure obligation, while filtering on the audit status field reflects what the issuer actually reported.
How can I find offerings whose financial statements were not audited?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the financial statement audit status inside the offering summary object (summaryInfo.financialStatementAuditStatus), where the value should be Unaudited. This field takes one of two values, Audited or Unaudited, and reflects whether the issuer's financial statements in the offering were audited.
Unaudited financials are generally associated with smaller Tier 1 offerings, so combining this filter with the tier indicator (summaryInfo.indicateTier1Tier2Offering equal to Tier1) narrows the results to the smaller offerings that took advantage of the lighter financial-statement requirement.
How do I search for offerings that are raising debt rather than stock?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the securities offered types inside the offering summary object (summaryInfo.securitiesOfferedTypes), where the value should be Debt. This field is a keyword list describing the kinds of securities offered, and its other possible values include Equity (common or preferred stock), Option, warrant or other right to acquire another security, Tenant-in-common securities, and Other(describe).
Filtering for Debt returns offerings such as promissory note and bond programs rather than common or preferred stock raises. Because the field is a list, an offering raising both debt and equity instruments will match a Debt filter while still carrying the equity value as well.
How do I find offerings above a certain total fundraising target?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the total aggregate offering amount inside the offering summary object (summaryInfo.totalAggregateOffering), which is the total dollar value the offering aims to raise. To find offerings above a threshold, the value of summaryInfo.totalAggregateOffering should be greater than your chosen amount, for example greater than 10000000 for offerings targeting more than ten million dollars.
Related amounts in the same object give finer detail: the issuer's own portion of the raise is the issuer aggregate offering (summaryInfo.issuerAggregateOffering), and the portion attributable to existing security holders is the security holder aggregate (summaryInfo.securityHolderAggegate). For a ranked view of the largest offerings, sort the results by summaryInfo.totalAggregateOffering in descending order.
How can I find companies in a particular industry that are raising money through these offerings?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the Standard Industrial Classification code inside the employees information object (employeesInfo.sicCode). The SIC code is a numeric identifier representing the issuer's primary business activity — for example 6798 is used for real estate investment trusts and 6510 for real estate operators.
To target an industry, the value of employeesInfo.sicCode should match the code for that line of business. The same object also carries the issuer's name (employeesInfo.issuerName), its organizing jurisdiction (employeesInfo.jurisdictionOrganization), and its incorporation year (employeesInfo.yearIncorporation), which can be combined with the SIC filter to narrow results further.
How do I find offerings from companies incorporated in a specific year?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the incorporation year inside the employees information object (employeesInfo.yearIncorporation). This field stores the year the issuer was incorporated as a string, such as 2017 or 2022. To find offerings from companies founded in a particular year, the value of employeesInfo.yearIncorporation should equal that year.
The same employees information object also records the issuer's organizing jurisdiction (employeesInfo.jurisdictionOrganization) and its industry code (employeesInfo.sicCode), so you can combine the incorporation year with those fields to find, for example, recently formed companies in a specific state or industry.
How can I filter offerings by the state or jurisdiction where the issuer is organized?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the jurisdiction of organization inside the employees information object (employeesInfo.jurisdictionOrganization). This field holds the state or country code under which the issuer is incorporated or organized — for example DE for Delaware, NV for Nevada, or MN for Minnesota. To target a jurisdiction, the value of employeesInfo.jurisdictionOrganization should equal that code.
Note that the jurisdiction where a company is organized is distinct from the states where it markets its securities to investors. The organizing jurisdiction is a corporate-formation attribute, while the marketing states are recorded separately in the jurisdiction-of-securities-offered object.
How do I find offerings being marketed to investors in a specific state?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the list of states where the securities are being offered, inside the jurisdiction-of-securities-offered object (juridictionSecuritiesOffered.issueJuridicationSecuritiesOffering). This field is a list of state and territory codes in which the issuer intends to offer its securities, such as CA, NY, or FL. To find offerings marketed in a given state, that state's code should be present in the list.
The same object also carries a parallel list for the dealers involved in the offering (juridictionSecuritiesOffered.dealersJuridicationSecuritiesOffering). This is different from the issuer's organizing jurisdiction (employeesInfo.jurisdictionOrganization), which describes where the company was formed rather than where its securities are sold.
How can I identify offerings that are sold continuously over time rather than in a single closing?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the delayed-or-continuous flag inside the offering summary object (summaryInfo.offerDelayedContinuousFlag). When this boolean is true, the offering is structured to be sold on a delayed or continuous basis over time rather than in a single closing. When it is false, the offering is not conducted continuously.
Continuous offerings are common among real estate funds and series-based investment vehicles that add new investors on an ongoing basis. Related flags in the same object give further context: the best-efforts flag (summaryInfo.offeringBestEffortsFlag) indicates the offering is sold on a best-efforts basis, and the offering-year flag (summaryInfo.offeringYearFlag) indicates it is tied to a specific offering year.
How do I find which companies a particular law firm or auditor is working with on their offerings?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the service provider names inside the offering summary object. The legal service provider is recorded as the legal service provider name (summaryInfo.legalServiceProviderName), and the auditor is recorded as the auditor service provider name (summaryInfo.auditorServiceProviderName). To find every offering handled by a particular firm, the relevant field should match that firm's name, for example CrowdCheck Law LLP for legal counsel or dbbmckennon LLC for the auditor.
The auditor of the issuer's financial statements is also named separately inside the issuer information object (issuerInfo.nameAuditor). For annual reports, use the Form 1-K endpoint at /reg-a/form-1k, where the corresponding fields are the legal service provider name (summaryInfo.legalSpName) and the auditor service provider name (summaryInfo.auditorSpName).
How do I find offerings handled by a specific broker-dealer?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the broker-dealer CRD number inside the offering summary object (summaryInfo.brokerDealerCrdNumber). The CRD number is the identifier assigned to the broker-dealer involved in the offering, for example 315324 or 136352. To find every offering a particular broker-dealer handled, the value of summaryInfo.brokerDealerCrdNumber should equal that CRD number.
For annual reports and exit reports, the equivalent field is the broker-dealer CRD number in those forms' offering objects — the Form 1-K endpoint at /reg-a/form-1k uses summaryInfo.crdNumberBrokerDealer, and the Form 1-Z endpoint at /reg-a/form-1z uses summaryInfoOffering.crdNumberBrokerDealer.
How can I tell how much money an annual report says was actually raised versus the amount originally qualified?
Use the Form 1-K endpoint at /reg-a/form-1k, where the annual report records both figures inside the offering summary object (summaryInfo). The number of securities that were qualified for sale is the qualified securities sold field (summaryInfo.qualifiedSecuritiesSold), and the number actually sold during the offering is the offering securities sold field (summaryInfo.offeringSecuritiesSold). Comparing these two values shows how much of the qualified offering the issuer has placed.
The dollar amount actually raised is recorded as the aggregate offering price (summaryInfo.aggregrateOfferingPrice), the total sales price for securities sold by the issuer, with a parallel field for sales on behalf of selling securityholders (summaryInfo.aggregrateOfferingPriceHolders). The unit price is the price per security (summaryInfo.pricePerSecurity).
How do I find annual reports where only a small fraction of the qualified securities were sold?
Use the Form 1-K endpoint at /reg-a/form-1k and filter on the offering securities sold field inside the offering summary object (summaryInfo.offeringSecuritiesSold), which is the quantity of securities actually sold during the offering as of the report date. To surface offerings that placed only a small quantity, the value of summaryInfo.offeringSecuritiesSold should be below a chosen threshold, for example less than 7500.
To judge what fraction that represents, compare it against the qualified securities sold field (summaryInfo.qualifiedSecuritiesSold), which is the quantity qualified for sale. An offering where the sold amount is far below the qualified amount indicates that only a small portion of the offering has been taken up by investors.
How can I find offerings where the issuer kept large net proceeds after fees?
Use the Form 1-Z endpoint at /reg-a/form-1z and filter on the issuer net proceeds field inside the offering summary object (summaryInfoOffering.issuerNetProceeds), which is the amount the issuer received after deducting fees and expenses. To find offerings that retained a large amount, the value of summaryInfoOffering.issuerNetProceeds should be greater than your chosen threshold, for example greater than 20000000 for offerings that kept more than twenty million dollars.
The exit report also records the gross sales detail in the same object, including the total securities sold (summaryInfoOffering.offeringSecuritiesSold) and the price per security (summaryInfoOffering.pricePerSecurity), so you can see the difference between gross proceeds and the net amount the issuer kept after underwriter, legal, auditor, and blue sky fees.
How do I see how many record holders a company had when it suspended its reporting obligations?
Use the Form 1-Z endpoint at /reg-a/form-1z, where the exit report records the certification of suspension details inside the certification suspension object (certificationSuspension). The approximate number of record holders as of the certification date is the approximate record holders field (certificationSuspension.approxRecordHolders) — for example 654 holders for one issuer or 0 for an offering that had no remaining record holders.
The same object names the class of securities covered by the exit report as the securities class title (certificationSuspension.securitiesClassTitle) and the related commission file number (certificationSuspension.certificationFileNumber). To find this information for a specific company, filter on the issuer's Central Index Key (cik).
How can I evaluate the financial health of an issuer raising money, such as whether it is profitable or has negative equity?
Use the Form 1-A endpoint at /reg-a/form-1a, where each offering statement carries balance sheet and income statement figures inside the issuer information object (issuerInfo). Profitability is reflected in the net income field (issuerInfo.netIncome) — a negative value indicates the issuer is operating at a loss — alongside total revenues (issuerInfo.totalRevenues) and the costs and expenses applied to revenues (issuerInfo.costAndExpensesApplToRevenues).
Solvency is reflected in the total stockholder equity field (issuerInfo.totalStockholderEquity); a negative value indicates the issuer's liabilities exceed its assets. Supporting figures in the same object include total assets (issuerInfo.totalAssets), total liabilities (issuerInfo.totalLiabilities), long-term debt (issuerInfo.longTermDebt), and cash and equivalents (issuerInfo.cashEquivalents). To screen for distressed issuers, the value of issuerInfo.totalStockholderEquity or issuerInfo.netIncome should be less than zero.
How do I find offerings of real estate or similar series-based investments where each property is offered as its own series?
Use the Form 1-A endpoint at /reg-a/form-1a and examine the securities issued array (securitiesIssued). In a series-based offering, this array holds multiple entries, each with a distinct security title (securitiesIssued.securitiesIssuerTitle) such as Series #WGI3Z or Series #0XYT6, where each series represents a separate property or investment. An offering with several entries carrying different securitiesIssuerTitle values indicates this series structure.
These offerings are typically real estate vehicles, so combining this with a real estate SIC code in the employees information object (employeesInfo.sicCode, for example 6510 or 6798) narrows the results. Each series entry also records the total amount issued (securitiesIssued.securitiesIssuedTotalAmount) and the aggregate amount (securitiesIssued.securitiesIssuedAggregateAmount).
How can I identify offerings that issued unregistered securities and see the exemption they relied on?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the unregistered securities indicator inside the unregistered securities object (unregisteredSecurities.ifUnregsiteredNone). When this boolean is false, the issuer reported issuing unregistered securities; when it is true, no unregistered securities were issued.
For offerings that did issue unregistered securities, the exemption relied upon is described in the unregistered securities act object (unregisteredSecuritiesAct.securitiesActExcemption). This field is free text naming the applicable exemption — for example Rule 506(b) of Regulation D, Rule 506(c) Regulation D, or Section 4(a)(2) of the Securities Act of 1933.
How do I distinguish offerings from publicly traded companies versus private ones?
Use the Form 1-A endpoint at /reg-a/form-1a and filter on the ticker field (ticker). When the issuer is a publicly traded company, this field holds the stock ticker symbol in use at the time of filing, such as KSCP or VMHG; for a private issuer it is empty. So a non-empty ticker identifies offerings by public companies.
The trading status of a specific equity class is also recorded inside the common equity object as the publicly traded common equity indicator (commonEquity.publiclyTradedCommonEquity), which names the venue where the class trades — for example Nasdaq Global Market or OTC Markets Pink Sheets — or a placeholder such as none or N/A when the class is not publicly traded.
How can I rank the largest Regulation A offerings by target raise amount?
Use the Form 1-A endpoint at /reg-a/form-1a and sort the results by the total aggregate offering amount inside the offering summary object (summaryInfo.totalAggregateOffering) in descending order. This field holds the total dollar value the offering aims to raise, so a descending sort places the largest target raises at the top of the results.
The maximum value Regulation A permits for a Tier 2 offering means the largest entries cluster near that cap, for example 75000000. You can pair the sort with a filter on the tier indicator (summaryInfo.indicateTier1Tier2Offering) to rank only Tier 1 or only Tier 2 offerings, and read off the issuer of each from the company name field (companyName).
How do I page through more than 50 matching offerings in a single search?
Each request to the Reg A endpoints — /reg-a/search, /reg-a/form-1a, /reg-a/form-1k, and /reg-a/form-1z — returns at most 50 filings, set by the size parameter, which defaults to 50 and cannot exceed it. To retrieve a larger result set, page through it using the from parameter, which sets the starting position in the overall list of matches.
Fetch the first 50 results with from at 0, then the next 50 with from at 50, then 100, and so on, advancing in steps of 50 until you reach the total reported in the total.value field of the response. The from parameter has a maximum of 10000, so a single query can page through up to that many matching filings. Keep the query and sort consistent across pages so the ordering stays stable.
How do I find amendments to a Regulation A annual report and link them back to the original annual report?
Use the Form 1-K endpoint at /reg-a/form-1k and filter on the form type (formType) with the value 1-K/A, which is an amendment to an annual report under Regulation A. The original annual report carries the form type 1-K. To isolate just the amendments, the formType should equal 1-K/A.
To connect an amendment back to the report it revises, match on the shared identifiers: the EDGAR file number (fileNo), which links all filings of the same offering process, and the issuer's Central Index Key (cik). An amendment also covers the same reporting period as the original, recorded in the period of report field (periodOfReport), so matching on cik together with periodOfReport pairs an amendment with the specific annual report it amends.
References
For more information about Regulation A filings, visit the following SEC websites: