Find SEC Filings Excluding Specific Form Types

Retrieve SEC Form 10-K filings while explicitly excluding amended filings (10-K/A) and notices of late filing (NT 10-K).

The search expression formType:"10-K" matches all filings whose form type contains 10-K, which also includes 10-K/A and NT 10-K. To restrict the results to original 10-K filings only, the query applies the exclusion clause AND NOT formType:("10-K/A", NT).

This example demonstrates how to use Lucene query operators to control which filing variations are included or excluded from the Query API search results.

Request

Search Parameters in JSON (editable)

1{
2  "query": "formType:\"10-K\" AND NOT formType:(\"10-K/A\", NT)",
3  "from": "0",
4  "size": "20",
5  "sort": [{ "filedAt": { "order": "desc" } }]
6}

{
  "query": "formType:\"10-K\" AND NOT formType:(\"10-K/A\", NT)",
  "from": "0",
  "size": "20",
  "sort": [{ "filedAt": { "order": "desc" } }]
}