robinhood-options-mobile

SEC EDGAR Disclosures & Financial Statements

The instrument research view (SecDisclosuresWidget) provides direct access to SEC EDGAR regulatory filings, XBRL financial statements, an automated 10-K/10-Q filing research assistant, and Action Center / Smart Alert integration:

• Form 4 Insider Trading & Cluster Detection: Parses open-market purchases (P) and sales (S), reporting owner names, officer titles, net shares transacted, net transaction dollar value, and 30-day distinct insider buying and selling clusters (countInsiderBuyCluster, countInsiderSellCluster).
• Form 8-K Material Event Disclosures: Extracts deduplicated item codes, maps them to human-readable material event descriptions (e.g., 1.01, 1.03, 2.02, 3.01, 4.02, 5.02), and classifies event severity (critical, warning, info).
• Form 10-K / 10-Q Periodic Filings & XBRL Financial Statements: Parses recent 10-K and 10-Q submissions for fiscal period, Item 1A Risk Factor highlights, and Item 7/2 MD&A highlights (parse10KOr10QHtml), and extracts structured US-GAAP financial statement metrics from SEC XBRL companyfacts (parseCompanyFactsFinancials): Revenue, YoY Revenue Growth, Net Income, Net Margin, Diluted EPS, Operating Income, Operating Cash Flow, Cash & Equivalents, Total Assets/Liabilities/Equity, and Liabilities-to-Equity ratio.
• Form 13F-HR Institutional Holdings: Searches EDGAR full text for 13F-HR information tables reporting the issuer as a holding (parse13FXml).
• Automated 10-K/Q & Filing Research Assistant: Synthesizes an executive filing brief (buildSecFilingResearchBrief / callable analyzeSecFiling / SecFilingResearchBrief.fromSnapshot) with overall tone (bullish, neutral, cautious, bearish), financial highlights, insider & 8-K summaries, risk flags, and interactive quick-question analysis (10-K/10-Q Financials, Form 4 Insiders, 8-K Risks & Catalysts, 13F Ownership).
• Action Center & Smart Alerts Integration: PortfolioAlertService surfaces Action Center alerts for overlapping portfolio positions on 8-K material events, Form 4 insider buy/sell clusters, and 10-K/10-Q filings, and evaluates AlertType.sec_filing rules (sec_form4_insider_buy, sec_form4_insider_sell, sec_8k_material_event, sec_13f_institutional, sec_10k_10q_filing).

Data and refresh behavior

• The callable getSecDisclosures resolves a ticker to its SEC CIK, reads the issuer’s recent Form 4, 8-K, 10-K, and 10-Q submissions, fetches XBRL companyfacts financials, searches EDGAR full text for 13F filings, and synthesizes a researchBrief.
• The callable analyzeSecFiling evaluates cached or freshly fetched SEC disclosures and XBRL financials to answer targeted filing questions.
• Filing metadata, XBRL financials, and the research brief are cached in sec_disclosures/{symbol} for 30 minutes. The signed-in user’s saved positions are read server-side for each call; brokerage credentials and raw position data are not sent to the SEC.
• Symbols viewed by users are recorded in sec_tracked_symbols. The scheduled refreshTrackedSecDisclosures function refreshes the ten most recently requested symbols hourly.
• EDGAR’s 13F reports identify issuers by name. The integration only associates a holding when its normalized issuer name matches the SEC company name, so name variations may not be recognized.

Configuration and deployment

Configure SEC_EDGAR_USER_AGENT as a Firebase Functions string parameter with the app name and a monitored contact email, for example:

SEC_EDGAR_USER_AGENT="RealizeAlpha/1.0 (contact: maintainer@example.com)"

Use a real monitored address in the local Functions .env file or deployment environment; do not commit it. SEC requests are serialized through a shared Firestore rate slot at no more than eight requests per second.

Deploy the callables (getSecDisclosures, analyzeSecFiling) and scheduled function (refreshTrackedSecDisclosures) with the normal Functions deployment workflow after setting the parameter. No SEC API key is required.