Answers
What are the six taxonomy groups that companies are divided into?
BASI – Banking and Saving Institutions
CI – Commercial and Industrial (90% of companies fall under this taxonomy)
OG – Oil and Gas
RE – Real Estate
INS – Insurance
BD – Broker Dealer
Back to top
What are the data types and how do I interpret them?
"N" – Numerical Integer and if a number is supplied in brackets, it indicates the total number of integers; example: 12345.67
"C" – Characters; example: Donnelley Financial Solutions
"D" – Date; example: (YYYYMMDD) or 20150131
Back to top
How often is the data updated?
The data is refreshed at 3am EST, Monday through Friday. There is no new data posted on the weekends or on national holidays.
Back to top
What company identifiers are listed in the Core Dataset?
The following identifies are associated with the filing entities:
1. Company Name
2. Ticker Symbol (if actively traded)
3. Central Index Key (CIK)
4. EDGAR Online Entity ID
5. Primary CUSIP Identifiers, with separate entitlement for partners
Back to top
Where is the Total Shares Outstanding data derived from?
This data is taken from the filing's cover sheet or the income statement.
Back to top
Why do some companies in the Core Dataset lack a ticker symbol identifier?
When companies are no longer actively trading the former ticker symbol is disassociated. When this occurs the CIK number or other identifiers should be used when seeking data about this company.
Back to top
For non-US companies do you convert the currency to U.S. dollars and what is your methodology?
Yes, for foreign entities filing (20-F or 40-F) we convert the values into U.S. dollars. To determine the U.S. dollar amount we use the "end of day" conversion rate for the period end date that the filing represents.
Back to top
Why is a value different in the Core Dataset then what the company has reported?
We collect data at the child level (meaning the numbers are not rolled up) and then roll them up based on the U.S. GAAP rules. This facilitates a better comparison between the values reported by other companies (apples to apples).
Back to top
What does the coverage universe for the Core data include?
We cover all publicly traded and private companies that file with the SEC. We also collect data from OTC companies that do not file with the SEC. Mutual Funds and Closed End Funds are not part of this data set.
Back to top
Why does the Core data include companies that do not file with the SEC?
EDGAR Online does collect data from both the SEC and many non-SEC reporting companies that list with the OTC Markets. EDGAR Online has an exclusive agreement with OTC Markets which provides the Financial Data of OTC Market companies for inclusion and distribution from our database.
Back to top
Is Historical Stock Price data available with the Core data?
No, only the prior day's trading data is available, which allows for calculation of the market capitalization.
Back to top
How often are the pricing related ratios updated?
These ratios are updated on a daily basis as the company’s stock trades. For example, the ratio data provided on July 15, 2014 would have been calculated using the data as of the end of the day on July 14.
Back to top
Why does the Core data include Financial data from selected 8-K filings but not for all 8-Ks?
We do collect earnings related to 8-K information only if they have financial tables included. Financial data is parsed from 8-K filings if the data is provided in a tabular format. Once the corresponding period, whether it is an annual or quarterly filing is available the data gets overwritten. Not every 8-K filing includes Financial data. If the Financial data is provided in narrative form (non-tabular) we cannot parse the data.
Back to top
Can original period data be accessed via this API?
The Core data contains the most “up-to-date” values for the period of data requested. If no updates to the values are received then the data is original, however if new data is received then the latest data will override the previously received data. If there is no new data to overwrite the data currently then, the data is original. There is no field or indication on this dataset that will distinguished the data as “original”.
Back to top
Why is Annual data not available for some companies?
In the case of newer companies or IPOs, the company may not have provided a filing with data for a complete and continuous 12 month period. Once 12 month period data is filed with the SEC, we process this data to make it accessible.
Back to top
Is data for up-coming IP0 companies available in the Core data?
Yes. If the company provides complete financials in their registration statements, we make this information available.
Back to top
Are the numbers in the Core data the full numerical for or are they a scaled value (i.e. in millions)?
The values in the Core Data reflect their full numerical form. Thus the value of $125 million is reflected as $125,000,000.
Note: Scaling is a common feature in the SEC filing presentation where the filer provides a scale to indicate all the numbers shown in the table are “in millions” or "in thousands" and then display the value as $100. This is interpreted to the reader as $125 million or 125 thousand depending on the scale indicated.
Back to top
Why are data fields available for some companies and not others?
Based on the industry where a company belongs, there are certain fields that are not part of the reporting structure for that industry group. We largely divide companies into 6 groups and then consolidate them to one list of fields as part of the CORE feed.
Back to top
What information is included in the Insider Trade Dataset?
EDGAR Online’s Insider Trade data is complied from transactions reported in forms 3 and 4, as reported by insiders to the SEC. This data is filed via the SEC’s EDGAR system as insiders report their activity and transactions. Filings are received in near real time for processing by the EDGAR Online team.
Back to top
What form types are included in the Insider Trade Dataset?
EDGAR Online’s Insider Trade data is based on forms 3 and 4.
Back to top
Who is considered a company insider?
A company insider is a director or senior officer of a company. An insider is also any person or entity that beneficially owns more than 10% of a company's voting shares. For purposes of insider trading, the definition is expanded to include anyone who trades a company's shares based on material non-public knowledge. Insiders have to comply with strict SEC disclosure requirements with regard to the sale or purchase of the shares of their company.
Back to top
How much history is available for Insider Trade data?
EDGAR Online’s Insider Trade data is a two-year rolling history of transactions, providing a current roster of insiders and their current positions.
Back to top
How often is the data updated?
The data is updated once, nightly at approximately 3am EST, Monday through Friday. There is no new data posted on the weekend or on national holidays.
Back to top
What security identifiers are used?
Data can be accessed based on the security’s name or ticker symbol. A security must have a valid and actively traded symbol. Alternatively, a filer’s name can be used to query for positions held.
Back to top
What data is included in the Insider Trade Dataset?
The dataset includes the names of insiders, their relation to the company and their transactions. Specific transaction information includes date of trade, transaction type, number of shares traded, share price and shares remaining in the position held after the trade.
Back to top
What types of transactions must insiders report?
Insider trades are reported according to the following transaction types:
| Transaction Type |
Definition |
| AS |
Automatic Sell |
| B |
Buy |
| JB |
Acquisition, Non-Open Market |
| JS |
Disposition, Non-Open Market |
| OE |
Option Exercise |
| PB |
Private Buy |
| PS |
Private Sell |
| S |
Sell |
Back to top
Are holdings adjusted for corporate actions, such as a stock split?
Yes. Holdings are adjusted for corporate actions, such as a stock split, as of the most recent pricing date (e.g. yesterday).
Back to top
What information is included in the Institutional Ownership Dataset?
EDGAR Online’s Institutional Ownership data is compiled from Form 13F-HR and 13F-HR/A filings submitted by institutional investment managers with discretionary control of over $100 million in securities or other tradable instruments. This data is filed via the SEC’s EDGAR system within 45 days of the end of a calendar quarter.
Back to top
What form types are included in the Institutional Ownership Dataset?
Form 13F and its amendments are the reporting forms filed by institutional investment managers, pursuant to Section 13(f) of the Securities Exchange Act of 1934 and the basis of the dataset. Congress passed Section 13(f) of the Securities Exchange Act in 1975 in order to increase the public availability of information regarding the securities holdings of institutional investors. Congress believed that this disclosure program would increase investor confidence in the integrity of the U.S. securities markets.
The specific form types used to extract the data include:
13F Holdings Report from the 13F-HR
13F Combination Report also from the 13F-HR
13F Notice from form 13F-NT
13F Amendments, filed as 13F-HR/A
Back to top
Who must file a Form 13F?
Institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F quarterly.
Back to top
What is an institutional investment manager?
An institutional investment manager is an entity that either invests in, or buys and sells, securities for its own account. For example, banks, insurance companies and broker/dealers are institutional investment managers. So are corporations and pension funds that manage their own investment portfolios. An institutional investment may also be an individual or an entity that exercises investment discretion over the account of any other person or entity; this could include an investment adviser or trust department of a bank that manages private accounts, mutual fund assets or pension plan assets.
Back to top
What information must institutional investment managers report on a 13F?
Institutional investment managers must report the issuer name of all Section 13(f) securities, a description of the class of security held (e.g. common stock, put/call option, class A shares, convertible debenture), the number of shares owned and the fair market value, or price, of the securities listed, as of the end of the calendar quarter (e.g. September 30).
Back to top
What information is submitted by the filer to the SEC but excluded from the EDGAR Online Institutional Ownership Data?
Put options, call options, private placements and debt securities are not included in the EDGAR Online Institutional Ownership Data. CUSIPS are not generally included due to redistribution constraints. If however, you have a CUSIP license, we can entitle the CUSIP identifiers.
Back to top
What quality checks are applied to the data?
The Institutional Ownership Data is processed and validated against approximately 50 data quality checks and balances to minimize errors potentially being passed along to clients and partners. When errors are identified, they are corrected as applicable and made available to clients as soon as possible; typically in the next nightly refresher.
Back to top
Is Historical Ownership data available? And if so, from when?
Historical Institutional Ownership data is available as a separate purchase, typically delivered via FTP. The data is available as of Q3 1999.
Back to top
How often is the data updated?
The data is refreshed every four hours, at approximately 8am, 12pm, 4pm 8pm and 12am, Monday - Friday. All times are eastern standard time. There is no new data posted on the weekend or on national holidays.
Back to top
When are the key filing dates?
Institutional investment managers are required to file within 45 days of the end of the calendar quarter. Typical peak dates for the filings are February 15th, May 15th, August 15th and November 15th.
Back to top
What security identifiers are used?
Data can be accessed based on the security’s name or ticker symbol. A security must have a valid and actively traded symbol. Data can be accessed via CUSIP, upon proof of redistribution agreement.
Back to top
What data is included in the holdings?
Based on the information reported by institutional investment managers, the dataset includes: shares held and total positions, market value, change in shares (number and percentage), changes in positions held, including increases, decreases, sell outs and new positions.
Back to top
What is the pricing date as of?
Positions held are reported as of the calendar quarter end date. The pricing data however is the currently reported end of day closing price for the security. All prices are quoted in U.S. dollars.
Back to top
Are holdings adjusted for corporate actions, such as a stock split?
Yes. Holdings are adjusted for corporate actions, such as a stock split, as of the most recent pricing date (e.g. yesterday).
Back to top
Where is the Total Shares Outstanding (TSO) pulled from?
The Total Shares Outstanding reported with Ownership data is sourced from a third party provider.
Back to top