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Form4API — SEC Insider Trading

by io.github.theodor90
OverviewDiscussionsAdmin

list_filings

Read-only

List Form 4 filings with optional ticker, CIK and date filters. Returns a paginated list of Form 4 filings, newest filed first. Filter by ticker, cik, and a from/to filed-date window. Each entry carries the accession number, company ticker/name, period of report, filed date, acceptedAt (the precise UTC SEC-acceptance instant, null if not captured), documentUrl (the public SEC document URL), amendment type (Original/Amendment), and the count of non-superseded transactions in that filing. Use this for a company's filing HISTORY; use GET /v1/filings/recent for a live newest-first feed (it has no page parameter), and GET /v1/transactions when you want the individual trades rather than the filings that contain them. limit is accepted as an alias for per_page. Not plan-gated.

Tool call template

This tool declares no required parameters. Add optional parameters from the input schema as needed.

{
  "id": 1,
  "jsonrpc": "2.0",
  "method": "tools/call",
  "params": {
    "arguments": {},
    "name": "list_filings"
  }
}

Input Schema

NameRequiredDescriptionDefault
toNoInclusive end of the filed-date window, format YYYY-MM-DD.
cikNoCompany CIK (SEC identifier), e.g. "0000320193". Leading zeros optional.
fromNoInclusive start of the filed-date window, format YYYY-MM-DD.
pageNo1-based page number. Defaults to 1.
limitNoAlias for per_page. Accepted because every caller who hit this path before it existed sent `limit`.
tickerNoCompany ticker symbol, case-insensitive (e.g. "AAPL"). Also returns filings made under a successor CIK of the same business (e.g. after a re-registration or redomicile); an unrelated company that reuses the ticker is not included.
per_pageNoFilings per page. Defaults to 20, maximum 100. `limit` is accepted as an alias; if both are given, per_page wins.

Schema Changelog

Changes observed during successful MCP inspections.

  1. First observed

TDQS

A4.4/5.0
Behavior4/5

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

Annotations already cover the safety profile (readOnly, openWorld), and the description adds real behavior: newest-filed-first ordering, pagination, the enumerated return payload, the acceptedAt null case, amendment type, and the fact that it is not plan-gated. It stops short of describing rate limits or page-boundary behavior, so it is strong but not exhaustive.

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?

Front-loaded with purpose and returns before the routing guidance, which is the right order. The clause "Filter by ticker, cik, and a from/to filed-date window" largely repeats the opening sentence and is the only clearly expendable text.

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

Completeness5/5

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

There is no output schema, and the description compensates by enumerating each returned field including edge cases (acceptedAt null, non-superseded transaction count). For a 7-parameter filtered list tool this covers everything an agent needs to call it and interpret results.

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 coverage is 100%, so every parameter including the limit/per_page alias and its precedence rule is already documented structurally. The description restates the ticker/cik/date filters and repeats the alias note, adding little meaning beyond the schema; baseline 3 applies.

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?

States a specific verb and resource ("List Form 4 filings") plus the filterable scope, and explicitly distinguishes itself from the recent-filings feed and the transactions endpoint. An agent can identify the right tool without opening any schema.

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

Usage Guidelines5/5

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

Gives an explicit positive case ("a company's filing HISTORY") and names two alternatives with the conditions that select them: the recent feed for a live newest-first stream, and transactions when individual trades are wanted rather than filings. Nothing is left to inference.

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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