Issuer identity
CIK is the stable key; ticker and company name can change.
VERSIONED FILING WORKFLOW版本化申报流程
Free S-1 API for SEC Filing Data免费 S-1 API：获取 SEC 申报数据
Track every filing version from the first S-1 through amendments, effectiveness, pricing, and outcome evidence.
从首次 S-1 开始，持续跟踪修订、生效、定价和最终结果的证据。
TL;DR先看 S-1 证据链
IPO due-diligence job
Assemble the original registration statement and amendments into one evolving offering record before an issuer has a stable ticker.
Minimum useful extraction
Track price range, offered shares, selling shareholders, proceeds, dilution, underwriters, risk factors, and each value’s filing version.
Critical distinction
An S-1 shows registration intent; it does not prove that the deal will launch, price inside the range, list, or avoid withdrawal.
QVeris role
QVeris helps agents discover and call relevant financial-data capabilities; provider terms and quotas still govern each API.
IPO 尽调任务
在发行人拥有稳定股票代码前，把原始注册声明与全部修订整理成一条持续变化的发行记录。
最小可用提取
跟踪价格区间、发行股份、售股股东、募集用途、稀释、承销商、风险因素及各数值对应的申报版本。
关键区别
S-1 表示注册意图，并不能证明交易一定启动、在区间内定价、成功上市或不会撤回。
QVeris 的作用
QVeris 帮助 Agent 发现并调用金融数据能力；实际免费额度和使用条款仍由各 API 提供方决定。
An S-1 is a versioned filing lifecycle把 S-1 看成持续更新的申报过程
Initial S-1
Registration statement with the first public disclosure set.
Amendments
S-1/A filings revise risk factors, financials, terms, and exhibits.
Prospectus
Rule 424 filings may contain pricing and final offer details.
Effectiveness
An EFFECT filing marks effectiveness, not necessarily completed trading.
Outcome
Withdrawal, delay, pricing, listing, or another path must be determined from evidence.
首次 S-1
注册声明首次公开披露发行信息。
修订文件
S-1/A 会更新风险因素、财务数据、条款和附件。
招股书
Rule 424 文件可能包含定价和最终发行细节。
生效
EFFECT 表示注册生效，但不等于已经完成上市交易。
最终结果
撤回、延期、定价、上市或其他结果，都要根据证据判断。
From S-1 filing to pricing: follow the document chain从 S-1 申报到定价：按文件链确认发行状态
No single document proves every stage of an IPO. Build an offering-level timeline keyed by issuer CIK and registration identity, then attach each filing and market event with its own accepted time and evidence. A public API also cannot reveal a confidential draft while it remains nonpublic; absence from EDGAR before public filing is not proof that an issuer has done no preparation.
没有任何一份文件能够单独证明 IPO 的全部阶段。应以发行人 CIK 和注册事项身份构建发行级时间线，再把每份申报和市场事件连同各自的受理时间与证据挂接进去。公开 API 也无法读取仍处于非公开状态的保密草案；公司在 EDGAR 尚无公开文件，并不代表它没有进行上市准备。
| Evidence证据 | What it establishes能够确认什么 | Important fields重点字段 | Do not infer不能据此推断 |
|---|---|---|---|
| S-1 | A public registration statement was filed.公开注册声明已经提交。 | CIK, accession, securities, initial disclosures, accepted time.CIK、申报编号、证券类型、初始披露与受理时间。 | Final price, completion, listing date, or first trade.最终价格、发行完成、上市日或首笔交易。 |
| S-1/A | A specific version amended the registration.注册声明出现了一个新的修订版本。 | Changed range, shares, financial periods, risks, exhibits.变化后的价格区间、股份、财务期间、风险与附件。 | That the newest disclosed range became the final price.最新披露的区间一定成为最终发行价。 |
| EFFECT | The registration statement became effective.注册声明已经生效。 | Effective date and time, related registration identity.生效日期与时间、关联注册事项。 | That securities priced, were sold, or began trading.证券已经定价、售出或开始交易。 |
| 424B4 | A final prospectus commonly provides final offering terms.最终招股书通常提供更接近最终的发行条款。 | Offering price, final shares, underwriting terms, proceeds, dilution.发行价、最终股份、承销条款、募集金额与稀释。 | That every allocated share traded or that the deal met forecasts.所有配售股份都已交易，或发行结果符合预测。 |
| RW | A request was made to withdraw the registration statement.发行人请求撤回注册声明。 | Filing time, related registration, stated reason when provided.提交时间、关联注册事项及文件中说明的原因。 | That the issuer can never return with another registration.发行人以后不会再次提交注册。 |
| Market evidence市场证据 | Listing and first trade can be observed separately.上市和首笔交易可通过独立市场记录确认。 | Exchange, ticker, listing date, first-trade timestamp and price.交易所、股票代码、上市日、首笔交易时间与价格。 | That filing acceptance time equals market launch time.申报受理时间等于市场启动时间。 |
Worked example: keep every version instead of overwriting the deal.
An initial S-1 may omit price and final share count. An S-1/A can later disclose 12 million shares at $18–$20, another amendment can change that to 10 million shares at $20–$22, EFFECT can mark registration effectiveness, and a 424B4 can state 10 million shares priced at $21. A “latest value” table loses how expected gross proceeds moved from an implied $216–$240 million range to $200–$220 million and finally $210 million. Store each value with its accession, accepted time, units, scenario and source location.
版本示例：不要用最新值覆盖整个发行过程。
最初的 S-1 可能没有价格和最终股份数量；之后的 S-1/A 可能披露发行 1,200 万股、区间为 18–20 美元；再下一版又可能改成 1,000 万股、区间为 20–22 美元；EFFECT 证明注册声明生效；424B4 最终写明以 21 美元发行 1,000 万股。如果只保存“最新值”，就会丢失预计募集总额从 2.16–2.40 亿美元、变为 2.00–2.20 亿美元并最终落在 2.10 亿美元的过程。每个数值都应绑定申报编号、受理时间、单位、计算情景和来源位置。
Source hierarchy先确认文件来源与证据层级
Accession number
Use it as the immutable filing version identifier.
Primary document
Keep the exact HTML or text document selected from the filing index.
Exhibits
Store exhibit type, filename, and relationship to the filing.
Form family
Keep S-1, S-1/A, 424B, EFFECT, and RW distinct.
Retrieval evidence
Preserve SEC URL, retrieval time, and parser version.
发行人身份
CIK 是稳定主键；股票代码和公司名称可能变化。
Accession Number
将其作为不可变的申报版本标识。
主文档
保留从申报索引中选中的精确 HTML 或文本文件。
附件
保存附件类型、文件名及其与申报的关系。
表格族
严格区分 S-1、S-1/A、424B、EFFECT 和 RW。
获取证据
保留 SEC 链接、获取时间和解析器版本。
Fields worth extracting从 S-1 中提取哪些关键字段
| Field group | Examples | Version rule |
|---|---|---|
| Issuer | CIK, legal name, jurisdiction | Use filing-time identity |
| Offering | Securities, amount, price range | Never backfill from a later amendment |
| Financials | Periods, statements, auditor | Keep units and filing context |
| Risk | Risk factors and changes | Compare by accession number |
| Use of proceeds | Categories and amounts | Mark narrative versus quantified |
| Evidence | Source URL, page/section, retrieval time | Attach to every extracted claim |
| 字段组 | 示例 | 版本规则 |
|---|---|---|
| 发行人 | CIK、法定名称、注册地 | 使用申报当时的身份 |
| 发行信息 | 证券类型、数量、价格区间 | 不能用后续修订回填早期版本 |
| 财务数据 | 期间、报表和审计师 | 保留单位和申报上下文 |
| 风险 | 风险因素及其变化 | 按 accession number 比较 |
| 募集资金用途 | 用途类别和金额 | 区分叙述与量化数据 |
| 证据 | 来源链接、页码/章节、获取时间 | 每个提取结论都附带证据 |
Free SEC filing API fields and capabilities免费 SEC 申报接口的字段与能力
| Layer层级 | Main job主要作用 | Best for适合场景 | Boundary边界 |
|---|---|---|---|
| Form type | S-1 or S-1/A.S-1 或 S-1/A。 | Separating originals from amendments.区分原始声明与修订文件。 | Do not infer IPO completion.不能据此推断 IPO 已完成。 |
| CIK / ticker | Issuer lookup key.发行人查询键。 | Company-specific S-1 search.查询特定公司的 S-1。 | Ticker may be absent or change.股票代码可能缺失或变化。 |
| Accession / URL | Unique filing reference and source document.唯一申报标识与原始文档。 | Deduplication and audit trails.去重与审计追踪。 | Document parsing may be separate.文档解析可能需要另一接口。 |
| Extracted IPO fields | Offering, underwriter, proceeds, shareholders, or risk data.发行、承销商、募集用途、股东或风险字段。 | Structured IPO research.结构化 IPO 研究。 | Coverage varies by provider and plan.覆盖范围取决于提供方和套餐。 |
| Offering version发行方案版本 | Price range, primary and secondary shares, options, proceeds, and valuation assumptions per accession.按 accession 保存价格区间、新股与老股数量、超额配售、募集金额和估值假设。 | Explaining how deal terms evolve.解释发行条款如何变化。 | Blank early-stage fields are not zero and must not be forward-filled silently.早期空白字段不等于零，也不能静默用后续值回填。 |
| Capitalization / dilution资本结构 / 稀释 | Share classes, conversions, options, warrants, pro forma equity, and dilution assumptions.股份类别、转换、期权、认股权证、备考权益与稀释假设。 | Ownership and per-share impact analysis.所有权与每股影响分析。 | Calculations depend on the stated scenario and offering version.计算结果取决于披露的情景与发行版本。 |
| Narrative diff叙述披露差异 | Added, removed, or changed risks, use of proceeds, business claims, and related-party disclosures.新增、删除或修改的风险、募集用途、业务表述与关联交易披露。 | Reviewing substantive changes across S-1/A versions.审查 S-1/A 之间的实质变化。 | Layout and pagination changes create noisy text diffs; section-aware comparison is required.版式和分页变化会制造大量噪声，需要按章节进行比较。 |
Research workflow按证据推进 S-1 研究
- 01
Resolve issuer
Map name or ticker to CIK and verify identity.
- 02
Collect versions
List the full form family in chronological order.
- 03
Fetch documents
Download the filing index, primary document, and required exhibits.
- 04
Extract with evidence
Return section, source URL, and accession with every field.
- 05
Compare changes
Diff amendments without mixing later facts into earlier versions.
- 06
Determine outcome
Use EFFECT, 424, RW, exchange, and issuer evidence together.
- 01
确认发行人
把名称或代码映射到 CIK，并核对身份。
- 02
收集版本
按时间顺序列出完整表格族。
- 03
获取文档
下载申报索引、主文档和所需附件。
- 04
带证据提取
每个字段同时返回章节、来源链接和 accession。
- 05
比较变化
对修订做差异分析，不把后续事实混入早期版本。
- 06
判断结果
结合 EFFECT、424、RW、交易所和发行人证据。
How to use a free S-1 API for SEC filings如何使用免费 S-1 API 获取 SEC 申报
An S-1 API supports IPO and registration-statement due diligence. Start with CIK because a first-time filer may not have a ticker, assemble the original S-1 and every S-1/A in filing order, then extract how the offering changes: proposed price range, share counts, dilution, use of proceeds, selling shareholders, underwriters, risk factors, capitalization, and financial statements. Filing an S-1 does not prove that an IPO will price or complete.
S-1 API 主要服务于 IPO 与注册声明尽调。首次申报公司可能尚无股票代码，因此应从 CIK 开始，按申报顺序整理原始 S-1 与所有 S-1/A，再提取发行方案如何变化，包括拟议价格区间、股份数量、稀释、募集资金用途、售股股东、承销商、风险因素、资本结构和财务报表。提交 S-1 并不意味着 IPO 一定会定价或完成。
Treat the registration as a versioned dossier, not a row in an IPO calendar. Early filings may omit a price range or final share count; later amendments can add financial periods, change underwriters, revise risk language, update selling shareholders, or alter the primary-versus-secondary mix. The economically important answer is often the difference between versions and the evidence behind it.
注册声明应被视为持续演进的版本档案，而不是 IPO 日历中的一行。早期文件可能没有价格区间或最终发行数量；后续修订可能补充财务期间、更换承销商、改写风险披露、更新售股股东，或改变新股发行与老股出售的比例。真正具有研究价值的，往往是版本之间发生了什么变化，以及这些变化对应的原文证据。
1. Build the amendment timeline
Order S-1 and S-1/A filings by acceptance time and accession. Compare versions rather than treating every amendment as a separate IPO candidate.
2. Extract the offering structure
Track primary versus secondary shares, proposed price range, total proceeds, selling shareholders, option allocations, underwriters, and exchange plans when disclosed.
3. Measure dilution and capitalization
Preserve pre- and post-offering shares, equity classes, conversion assumptions, option pools, and pro forma capitalization. Headline proceeds alone do not explain ownership impact.
4. Diff narrative disclosures
Compare risk factors, use of proceeds, business description, related-party transactions, and financial statements across amendments. A newly added or expanded passage can matter more than a changed cover-page number.
5. Link the registration to later prospectus stages
Track the same offering through prospectus filings and effectiveness or withdrawal events when available. Keep form type and accession for each stage; do not infer pricing, first trade, or completion from an S-1/A alone.
6. Preserve exhibits and incorporated documents
The filing package can include underwriting forms, charter documents, material contracts, legal opinions, consents, and financial exhibits. Save exhibit type, sequence, filename, description, URL, and version relationship rather than indexing only the main prospectus.
1. 建立修订时间线
按 SEC 接收时间和 accession 排列 S-1 与 S-1/A，通过版本比较追踪变化，不要把每次修订都当作一个新的 IPO 候选。
2. 提取发行结构
跟踪新发行与老股出售、拟议价格区间、募集总额、售股股东、超额配售、承销商及计划上市交易所。
3. 测量稀释与资本结构
保存发行前后股份、不同股权类别、转换假设、期权池和备考资本结构。仅看募集金额无法解释所有权影响。
4. 比较叙述性披露差异
跨修订比较风险因素、募集资金用途、业务描述、关联交易和财务报表。新增或扩展的一段披露，可能比封面数字变化更重要。
5. 把注册声明连接到后续招股阶段
在数据可得时，继续跟踪同一发行对应的招股书文件、生效或撤回事件，并为每个阶段保留表格与 accession。不能仅凭一份 S-1/A 推断最终定价、首日交易或发行完成。
6. 保留附件与引用纳入文件
完整申报材料可能包含承销协议样本、公司章程、重大合同、法律意见、同意函与财务附件。除主要招股书外，还应保存附件类型、顺序、文件名、说明、URL 与版本关系。
S-1 filings API example and validation checklistS-1 申报 API 示例与验证清单
Store one registration dossier with a version list rather than emitting every amendment as a new IPO. The placeholders below show how filing evidence and extracted offering terms remain connected.
应把同一注册事项保存为一份带版本列表的档案，而不是把每次修订都发布成新的 IPO。下面的占位示例展示申报证据与提取后的发行条款如何保持关联。
{
"registration_id": "ISSUER_CIK:REGISTRATION_FILE_NUMBER",
"issuer": {"cik": "ISSUER_CIK", "name": "ISSUER_NAME", "ticker": null},
"state": "amended",
"versions": [
{
"accession_number": "INITIAL_S1_ACCESSION",
"form": "S-1",
"accepted_at": "YYYY-MM-DDThh:mm:ss-04:00",
"source_url": "SEC_S1_URL",
"offering": {"shares": null, "price_low": null, "price_high": null}
},
{
"accession_number": "AMENDMENT_ACCESSION",
"form": "S-1/A",
"accepted_at": "YYYY-MM-DDThh:mm:ss-04:00",
"source_url": "SEC_S1A_URL",
"offering": {
"shares": "12000000",
"price_low": "18.00",
"price_high": "20.00",
"currency": "USD",
"source_location": "prospectus-cover"
}
}
],
"outcome_evidence": {"effect_accession": null, "final_prospectus_accession": null}
}State must follow evidence. An S-1/A can justify amended, but not effective, priced, or completed. Update those later states only from the appropriate EFFECT, final prospectus, withdrawal, exchange, or market evidence, and retain the accession that caused each transition.
发行状态必须由证据驱动。S-1/A 可以支持 amended，却不能证明 effective、priced 或 completed。后续状态只能依据相应的 EFFECT、最终招股书、撤回文件、交易所或市场证据更新，并保留触发每次状态变化的 accession。
Discover by CIK and exact form
Use CIK because a pre-IPO issuer may have no ticker. Retrieve S-1 and S-1/A, sort by accepted timestamp, follow older-submission references where needed, and preserve every accession as a distinct version in one registration timeline.
Capture the complete filing package
Store the filing index, primary registration statement, exhibits, accepted time, filing date, and official URLs. Hash immutable source files before parsing. A valid source package is the prerequisite for reliable field extraction and later replay.
Extract versioned fields, not one “latest” row
For price range, shares, proceeds, underwriters, shareholders, dilution, and financial periods, store value, unit, accession, source section, extraction method, and confidence. Preserve blanks and ranges; never convert missing early terms to zero.
Run section-aware diffs
Normalize headings and trivial formatting while retaining tables and substantive text. Compare Risk Factors, Use of Proceeds, Dilution, Capitalization, Business, MD&A, related parties, and financial statements. Surface additions, removals, and changed numbers with source anchors.
Validate the outcome state
Keep registration filed, amended, effective, priced, completed, postponed, and withdrawn as separate states backed by appropriate filings or market evidence. An S-1 record alone proves only that a registration statement was filed publicly.
按 CIK 与准确表格发现文件
IPO 前发行人可能没有 ticker，因此应使用 CIK，获取 S-1 与 S-1/A，按 accepted timestamp 排序，必要时读取更早 submissions 引用，并把每个 accession 作为同一注册时间线中的独立版本保存。
采集完整申报材料
保存文件索引、主要注册声明、附件、受理时间、申报日和官方 URL，并在解析前为不可变源文件计算哈希。只有来源材料完整，字段提取和后续重放才可靠。
提取版本化字段，而不是只保留“最新值”
价格区间、股份数量、募集金额、承销商、售股股东、稀释与财务期间等字段，都应保存数值、单位、accession、来源章节、提取方式和置信度。空白与区间必须原样保留，不能把早期尚未披露的条款写成零。
按章节比较版本差异
可以消除标题格式与无意义版式差异，但要保留表格和实质正文。重点比较风险因素、募集用途、稀释、资本结构、业务、MD&A、关联交易与财务报表，并用来源锚点展示新增、删除及数字变化。
验证发行结果状态
注册提交、修订、生效、定价、完成、延期与撤回应作为不同状态，并由相应文件或市场证据支持。单独一份 S-1 只能证明注册声明已经公开提交。
Inspect SEC submission capabilities调用前检查 SEC 申报能力
Use a concrete SEC capability for issuer lookup and filing discovery, then keep the SEC source URL in every result. Continue with SEC submissions tool, then confirm the calling contract in the QVeris REST API reference.
使用具体 SEC 能力查询发行人和申报文件，并在每个结果中保留 SEC 原始链接。 可继续打开SEC Submissions 工具，并通过QVeris REST API 参考核对调用契约。
FAQ常见问题
Is there an official free SEC S-1 API?
SEC EDGAR exposes public submission metadata and archived registration statements without an API key. Query the issuer by CIK, filter S-1 and S-1/A, follow current access guidance, and retrieve the filing package for prospectus analysis.
Can I find an S-1 before a company has a ticker?
Yes. CIK is the durable SEC issuer identifier and is more reliable than ticker for pre-IPO research. Preserve issuer names and observed ticker mappings separately because names and proposed symbols can change.
What is the difference between S-1 and S-1/A?
S-1 is an initial public registration statement; each S-1/A is a separate amendment version. Amendments may add or change offering terms, financial periods, risk language, shareholders, underwriters, exhibits, or other disclosures.
Does filing an S-1 mean the IPO will happen?
No. It establishes a public registration record, not a guaranteed launch, price, listing, or completion. Track later amendments and appropriate effectiveness, prospectus, withdrawal, and market events before assigning an outcome.
How should price range and shares be stored?
Store lower and upper price, primary and secondary shares, option assumptions, units, currency, accession, and source location for each version. Keep missing values null; do not overwrite history with the latest terms.
How do I compare S-1 amendments?
Align sections first, normalize only superficial formatting, then diff text, tables, and extracted fields. Prioritize Risk Factors, Use of Proceeds, Dilution, Capitalization, shareholders, underwriting, and financial statements, with links to both source versions.
SEC 是否提供免费的 S-1 官方 API？
SEC EDGAR 无需 API key 即可提供公开 submissions 元数据和归档注册声明。可按 CIK 查询发行人，筛选 S-1 与 S-1/A，并在遵守当前访问指引的前提下获取完整申报材料。
公司还没有股票代码时能找到 S-1 吗？
可以。CIK 是 SEC 体系中更稳定的发行人标识，尤其适合 IPO 前研究。公司名称和拟议股票代码可能变化，应与 CIK 分开保存，并记录映射的观察时间。
S-1 与 S-1/A 有什么区别？
S-1 是首次公开注册声明，每份 S-1/A 则是独立修订版本。修订可能补充或修改发行条款、财务期间、风险措辞、股东、承销商、附件或其他披露。
提交 S-1 是否意味着 IPO 一定会进行？
不是。它只能证明已经形成公开注册记录，不能保证交易启动、定价、上市或完成。判断结果还需继续跟踪修订文件，以及相应的生效、招股书、撤回和市场事件。
价格区间与发行股份应如何保存？
每个版本都应保存价格上下限、新股与老股数量、超额配售假设、单位、币种、accession 和来源位置。未披露值保持为空，不能用最新条款覆盖历史。
如何比较多份 S-1 修订？
先对齐章节，只消除表面格式噪声，再比较正文、表格与提取字段。重点关注风险因素、募集用途、稀释、资本结构、股东、承销和财务报表，并同时链接两个来源版本。