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Exempt Offerings (Form D)

GetFormDOfferings
Read-only

Get recent exempt securities offerings (private placements) for a company from SEC Form D notices. Each Form D reports a Regulation D offering, showing the issuer, the date of first sale, the total offering amount (a dollar figure or "Indefinite"), the amounts sold and remaining, the minimum investment, the number of investors, the claimed exemptions, whether the notice is an amendment (D/A), and its SEC accession number. Ongoing offerings are re-noticed through D/A amendments that RESTATE the same offering — group rows by first-sale date and offering amount and use only the latest notice of each chain, or capital raised will be counted several times over. Use this to track how a company is raising private capital alongside its public filings.

Input Schema

TableJSON Schema
NameRequiredDescriptionDefault
tickerYesCompany ticker symbol (e.g., AAPL, MSFT)
toDateNoOptional latest filing date to include, ISO format yyyy-MM-dd (e.g., 2024-12-31)
fromDateNoOptional earliest filing date to include, ISO format yyyy-MM-dd (e.g., 2024-01-01)
maxResultsNoMaximum number of notices to return (default: 50, max: 500; values outside 1-500 are clamped)

TDQS

A4.3/5.0
Behavior5/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Annotations already declare readOnlyHint=true and destructiveHint=false, covering the safety profile. The description goes beyond this by explaining the behavioral quirks of Form D data—how ongoing offerings are re-noticed via D/A amendments and the need to group by first-sale date and offering amount. This adds substantial context about data semantics and potential aggregation pitfalls that annotations do not convey.

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness4/5

Is the description appropriately sized, front-loaded, and free of redundancy?

The description is longer than average but every sentence adds value: it defines the resource, lists key fields, warns about a data quirk, and gives a use case. The most critical information (purpose and D/A warning) is front-loaded, and there is no filler. It could be slightly trimmed, but it is well-structured and efficient for the complexity.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness4/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

There is no output schema, so the description compensates by enumerating the fields returned (issuer, first sale date, offering amount, etc.) and the amendment behavior. It covers the main data aspects an agent needs to interpret results. It omits minor details like error handling or pagination behavior, but these are either in the schema (maxResults) or not critical for a read-only tool. Overall, it is sufficiently complete.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters3/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

Schema description coverage is 100%, so all parameters (ticker, toDate, fromDate, maxResults) are already documented with types and descriptions. The description does not add extra meaning about parameter syntax or format beyond what the schema provides, so the baseline of 3 is appropriate.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

The description states a specific verb ('Get'), a clear resource ('SEC Form D notices'), and the scope ('recent exempt securities offerings for a company'). It explicitly distinguishes itself from sibling tools like GetForm144ProposedSales by focusing on private placements and Form D, making selection obvious.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines4/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

It provides a clear use case ('track how a company is raising private capital alongside its public filings') and gives important operational guidance about D/A amendments and grouping to avoid double-counting. It does not name explicit alternatives, but the specificity of the tool makes the intended usage unambiguous.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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TDQS

B3.4/5.0
Disambiguation4/5

Most tools have clearly distinct purposes, with detailed descriptions that cross-reference related alternatives. A few near-duplicate names could cause misselection, notably SearchDocument versus SearchDocuments and GetCftcPositioning versus GetLatestCftcPositioning.

Naming Consistency5/5

Tool names consistently follow a VerbNoun camelCase pattern: Get for retrievals, Search for discovery, List/Read for document access, and Add/Close/Remove/Update/Watch/Create/Delete for portfolio mutations. Despite the large count, there is no mixing of naming conventions or unpredictable verb styles.

Tool Count1/5

108 tools is an extreme surface area, far beyond the 3-15 well-scoped range and well past the 25+ threshold. Even for a broad financial data platform, this creates a heavy selection burden and substantial context overhead for agents.

Completeness4/5

The server covers an unusually wide domain: prices, fundamentals, SEC filings, options, insider activity, 13F holdings, short interest, macro data, funds, IPOs, and full portfolio lifecycle management. Notable gaps remain, such as a basic company profile/ticker-resolution tool, dividend history, and analyst estimates, so it is not a perfect 5.