Filtering filings

Filings can be filtered in many different ways like by form, date, CIK, ticker, and accession number. You also filter while getting filings using the get_filings function or after getting filings using the filter method.

For the most part these approaches will give identical results, except that with get_filings you are filtering from all available filings in the SEC, while with filter you are reducing the nu,ber of filings in a Filings object.

Filtering using parameters of get_filings

You can filter using parameters of the get_filings function.

Get filings by form

To get filings of a specific form type like 10-K, you can use the form parameter. For example:

filings = get_filings(form='10-K')

The form can also be a list of forms. For example:

filings = get_filings(form=['10-K', '10-Q'])

By default the amendments parameter is set to True so that amended filings are included. You can set it to False to exclude amended filings. For example:

filings = get_filings(form='10-K', amendments=False)

Filtering by date

You can filter filings by date using the filing_date parameter. For example:

filings = get_filings(filing_date='2022-01-01')

You can also filter by a range of dates. For example:

filings = get_filings(filing_date='2022-01-01:2022-01-10')

You can filter up to a date. For example:

filings = get_filings(filing_date=':2022-01-10')

as well as after a date. For example:

filings = get_filings(filing_date='2022-01-10:')

More filtering examples

from edgar import get_filings

# Get filings for 2021
filings_ = get_filings(2021) 

# Get filings for 2021 Q4
filings_ = get_filings(2021, 4) 

# Get filings for 2021 Q3 and Q4
filings_ = get_filings(2021, [3,4]) 

# Get filings for 2020 and 2021
filings_ = get_filings([2020, 2021]) 

# Get filings for Q4 of 2020 and 2021
filings_ = get_filings([2020, 2021], 4) 

# Get filings between 2010 and 2021 - does not include 2021
filings_ = get_filings(range(2010, 2021)) 

# Get filings for 2021 Q4 for form D
filings_ = get_filings(2021, 4, form="D") 

# Get filings for 2021 Q4 on "2021-10-01"
filings_ = get_filings(2021, 4, filing_date="2021-10-01") 

# Get filings for 2021 Q4 between "2021-10-01" and "2021-10-10"
filings_ = get_filings(2021, 4, filing_date="2021-10-01:2021-10-10") 

Filtering by CIK

You can filter filings by CIK using the cik parameter to get all filings for a company. For example:

filings = get_filings(cik='0000320193')

Filtering by ticker

You can filter filings by ticker using the ticker parameter. For example:

filings = get_filings(ticker='AAPL')

Note that this first does a lookup of the CIK for the ticker and then gets filings for the CIK. So if you know the CIK, it is better to use that directly.

Filtering by exchange

You can filter companies using the exchange parameter.

filings = get_filings(exchange='NASDAQ')

There are the following exchanges available:

Exchange
Nasdaq
NYSE
CBOE
OTC

Filtering using Filings.filter

You can filter filings using the filter method after getting filings. This work mostly identically to filtering using get_filings. The difference is that filter reduces from an existing Filings object rather that the entire SEC.

Example:

filings().filter(form='10-K')

    def filter(self, *,
        form: Optional[Union[str, List[IntString]]] = None,
        amendments: bool = None,
        filing_date: Optional[str] = None,
        date: Optional[str] = None,
        cik: Union[IntString, List[IntString]] = None,
        exchange: Union[str, List[str], Exchange, List[Exchange]] = None,
        ticker: Union[str, List[str]] = None,
        accession_number: Union[str, List[str]] = None) -> Optional['Filings']:

        :param form: The form or list of forms to filter by
        :param amendments: Whether to include amendments to the forms e.g. include "10-K/A"
        :param filing_date: The filing date
        :param date: An alias for the filing date
        :param cik: The CIK or list of CIKs to filter by
        :param exchange: The exchange or list of exchanges to filter by
        :param ticker: The ticker or list of tickers to filter by
        :param accession_number: The accession number or list of accession numbers to filter by

Using head, tail, and sample

You can subset filings using the head and tail and sample methods. For example:

filings = get_filings()
filings.head(10)
filings.tail(10)
filings.sample(10)