​

SEC Filing Types and Exhibits

​

How to read this page

• generic retrieval means Datastream can search or fetch the filing through the Filings reference
• workflow support means Datastream has a purpose-built surface that parses or classifies a filing family into a structured output
• selected exhibits means Datastream reads specific exhibit documents inside a workflow, not that it exposes a generic public exhibit-enumeration endpoint
• not public today means the filing or exhibit may be visible in SEC source documents but does not yet have a dedicated normalized Datastream contract

​

Current Datastream support by filing family

• Most EDGAR filing families: Datastream supports generic search and retrieval through filing search, latest filing, filing by accession, and the corresponding render routes. This is the broadest support class.
• 10-K, 10-Q: strongest named section support through latest section extraction and accession-scoped section extraction. The current public section keys are item_1a, item_2, and item_7.
• 10-K, 10-Q, 20-F, 40-F: statement and fact workflows are supported through the Statements reference, the Facts reference, and share float. This support is company-facts and XBRL driven, not generic filing rendering.
• S-1, S-1/A, 424B1, 424B2, 424B3, 424B4, 424B5: offering and prospectus workflows are supported through offerings.
• 13F-HR, 13F-HR/A: institutional ownership workflows are supported through latest 13F, 13F filings, 13F compare, and historical institutional extract. Datastream parses the information-table exhibit when it is available.
• SC 13D, SC 13D/A, SC 13G, SC 13G/A, 13D, 13D/A, 13G, 13G/A: beneficial ownership workflow support is exposed through 13D/13G reports.
• 3, 4, 5: insider ownership workflow support is exposed through insiders.
• DEF 14A: proxy-derived board and compensation workflows are supported through board composition, compensation, and compensation compare.
• 8-K, 8-K/A: SEC-furnished earnings-material workflows are supported through earnings materials. Datastream reads the filing body plus selected exhibits, typically the furnished 99 family.
• 8-K, 8-K/A, S-4, S-4/A, F-4, F-4/A, 425, DEFM14A, PREM14A, DEFA14A, SC TO-T, SC TO-I, SC TO-C: filing-derived M&A workflows are supported through M&A events. Selected exhibits are loaded for 8-K and tender-offer paths where they materially improve classification.
• NPORT-P, NPORT-EX: fund holdings workflow support is exposed through N-PORT holdings.

​

Common SEC filing types relevant to Datastream

​

Periodic and current reports

• 10-K: annual report. Used heavily across filing retrieval, section extraction, statements, risk categories, and volatility workflows.
• 10-Q: quarterly report. Used across filing retrieval, section extraction, statements, share-float support, and volatility workflows.
• 8-K: current report for material events. Used for generic filing retrieval, earnings-material workflows, M&A classification, and volatility inputs.
• 8-K/A: amended current report. Supported in the same workflow families as 8-K where the parser can use the amended filing.
• 20-F: annual report for foreign private issuers. Supported today through generic filing retrieval and statement-company-facts workflows.
• 40-F: annual report for certain Canadian issuers. Supported today through generic filing retrieval and statement-company-facts workflows.
• 6-K: foreign issuer report. Supported today through generic filing retrieval. There is no dedicated normalized 6-K workflow surface yet.

​

Ownership and governance filings

• 3: initial beneficial ownership statement. Supported through the insider-trading workflow surface.
• 4: statement of changes in beneficial ownership. Supported through the insider-trading workflow surface and contributes to volatility inputs.
• 5: annual statement of changes in beneficial ownership. Supported through the insider-trading workflow surface and contributes to volatility inputs.
• 13F-HR, 13F-HR/A: institutional holdings reports. Supported through the ownership surfaces that parse the information-table exhibit.
• SC 13D, SC 13G and amendments: beneficial-ownership reports. Supported through the 13d-13g ownership surface.
• DEF 14A: definitive proxy statement. Supported through board-composition and executive-compensation workflows.

​

Registration statements, prospectuses, and deal documents

• S-1, S-1/A: registration statements. Supported through the offerings workflow and generic filing retrieval.
• 424B1 through 424B5: prospectus filings. Supported through the offerings workflow and generic filing retrieval.
• S-4, F-4, 425, DEFM14A, PREM14A, DEFA14A, SC TO-*: supported today inside the M&A workflow surface, not as a generic deal-document normalization layer.

​

Fund and adjacent filing families

• NPORT-P, NPORT-EX: fund holdings support is available through the N-PORT holdings surface.
• ABS-EE, 10-D, N-CSR, N-CEN, N-PX, N-MFP*, D, 144, 1-A, C: these filing families can still appear in generic filing retrieval when the SEC submissions history exposes them, but Datastream does not currently publish dedicated normalized workflow endpoints for them.

​

Exhibit handling in Datastream today

• 13F information-table exhibit: Datastream loads the 13F XML exhibit inside the institutional ownership workflows rather than exposing it as a standalone exhibit object.
• EX-99.* in earnings materials: Datastream scans selected earnings-related exhibits from 8-K and 8-K/A filings to classify release-only, prepared-remarks, and transcript-like coverage.
• selected merger and tender-offer exhibits: Datastream loads a narrow exhibit subset for the M&A workflow when the filing family makes exhibit text materially useful.
• XBRL and inline XBRL exhibits: Datastream uses SEC structured-data surfaces and filing-linked XBRL context for statements, facts, segmented revenues, and share-float workflows. This is workflow support, not a public raw-exhibit endpoint.

​

Core exhibit taxonomy relevant to Datastream

• 2: plans of acquisition, reorganization, arrangement, liquidation, or succession. Often relevant to deal workflows, but Datastream does not yet expose a generic EX-2.* parser.
• 3: articles of incorporation and bylaws, including 3(i) and 3(ii). Relevant to governance and security-rights context, but not normalized into a dedicated Datastream surface today.
• 4: instruments defining the rights of security holders, including indentures. Relevant to security-rights analysis, but not yet a public dedicated Datastream endpoint.
• 10: material contracts. Important to issuer analysis, but currently available only through generic filing retrieval or filing rendering.
• 14: code of ethics. Not currently normalized into a dedicated Datastream endpoint.
• 19: insider trading policies and procedures. The SEC made this exhibit family relevant to Item 408(b) disclosures, but Datastream does not yet publish a dedicated parser for it.
• 21: subsidiaries of the registrant. Important to legal-entity mapping, but not yet a public dedicated Datastream endpoint.
• 23: consents of experts and counsel. Visible in filings, not normalized into a dedicated Datastream surface.
• 31: Rule 13a-14(a) and 15d-14(a) certifications. Visible in filings, not normalized into a dedicated Datastream surface.
• 32: Section 1350 certifications. Visible in filings, not normalized into a dedicated Datastream surface.
• 95: mine safety disclosures. Visible in covered filings, not normalized into a dedicated Datastream surface.
• 97: clawback or recovery policy exhibits. Required by the SEC’s recovery-policy rules, but not yet exposed as a dedicated Datastream parser.
• 99: miscellaneous and form-specific supporting exhibits. This is the most important exhibit family for Datastream today because earnings and selected event workflows rely on it.
• 101: XBRL interactive data exhibit family, including 101.INS, 101.SCH, 101.CAL, 101.DEF, 101.LAB, and 101.PRE. Datastream uses this data indirectly in structured financial workflows.
• 104: cover page interactive data file. Relevant to inline XBRL filing packages and linked SEC structured data, but not exposed as a standalone Datastream endpoint.
• 106: asset-backed issuer asset data. Not currently a dedicated Datastream surface.
• 107: filing-fee exhibit or EX-FILING FEES. Not currently a dedicated Datastream surface.

​

What Datastream does not expose yet

• there is no public Datastream endpoint that lists every exhibit attached to a filing and returns a normalized exhibit manifest
• there is no public Datastream endpoint that downloads arbitrary exhibit bodies by exhibit code
• named section extraction is not generalized across every EDGAR filing family; the public section keys today are item_1a, item_2, and item_7
• this page is intentionally not a 490-row mirror of every historical EDGAR submission code; for exhaustive operational submission-type coverage, use the SEC forms index and the EDGAR Filer Manual

​

Primary SEC sources

• Forms Index
• Know what form I should use
• Understand EDGARLink Online submission types
• Observe data and process filing limits
• EDGAR Filer Manual, Volume II, Chapter 3
• EDGAR Filer Manual, Volume II, Appendix C
• Understand automated conformance rules for EDGAR data fields
• Technical specifications
• EDGAR XBRL guide
• 17 CFR 229.601 (Item 601) Exhibits

​

Read next