EDGAR SEC 10K独立部分解析器

Question

你知道有哪种API（付费或免费）、工具或python包可以解析SEC 10-K文件中的各个部分吗

我正在寻找与整个10-K文件分开的10-K文件的各个部分（例如，第1项：业务、第1A项：风险因素等），最好从任何页眉（公司名称）、页脚（页码）和主要包含数字数据的表格中清除。我已经用python为整个10-K语句编写了一个解析器，使用BeautifulSoup，但是将它们划分为单独的部分看起来是相当有挑战性的——尽管不是不可能的

在重新发明轮子之前，我想，我先问问社区，他们是否知道任何现有的解决方案。我发现了https://jodie.ai/hi/，它将10-K语句分为多个部分，但只能追溯到2009年

谢谢你的帮助

Answer 1

我刚才就我提出的一个相关问题发表了评论，其中the related BigQuery dataset可能是你问题的答案。我还没有设法让它工作自己，但提取个人档案部分

我发现的下一个选项不是API，因此不会保持最新状态，但可以追溯到1993年，它是位于https://sraf.nd.edu/data/的存储库。我还不能确定这些部分是否完全按照您所要查找的内容进行了划分，但是已经进行了大量的预清理，使其成为您更容易的起点和/或针对您自己的解析代码进行有用的检查。那里的resources site包括到早期论文的链接，这些论文分析了相同和有用的东西，如字典和相关单词列表，并且the code page包括他们自己的python清理工作，这似乎是相当全面的

仍然不是我想你和我都在寻找的完整、干净的API，而是我找到的最好的API

Answer 2

我必须解决同样的问题，并为10-K和10-Q文件开发了一个项目提取算法。algo支持所有项目类型，可以返回标准化的明文和每个项目的原始HTML：

• 1-业务
• 1A-风险因素
• 1B-未解决的员工意见
• 2-属性
• 3-法律程序
• 4-矿山安全披露
• 5-注册人普通股市场、相关股东事宜 以及发行人购买权益证券
• 6-选定的财务数据（2021年2月之前）
• 7-管理层讨论和分析 财务状况和经营成果
• 7A-关于市场风险的定量和定性披露
• 8-财务报表和补充数据
• 9-会计和财务披露方面的变更和与会计师的分歧
• 9A-控制和程序
• 9B-其他资料
• 10-董事、执行官和公司治理
• 11-行政人员薪酬
• 12-某些受益所有人的担保所有权、管理层和相关股东事宜
• 13-某些关系和关联交易，以及董事独立性
• 14-主会计师费用和服务
• 15-附件、财务报表附表

请求参数

通过提供10-K或10-Q文件的URL、要提取的项目和类型，您可以使用API检索任何项目：

• url（必填）-10-K或10-Q文件的URL，例如TSLA 10-Khttps://www.sec.gov/Archives/edgar/data/1318605/000156459021004599/tsla-10k_20201231.htm
• items（必选）—要提取的一个或多个项。提供多个以逗号分隔的项目，例如1,1A,1B,2,5
• type（可选）-可以是text或htmltext返回没有任何XBRL、XML或HTML标记的清晰格式化文本。所有表格均已删除html返回包含表的项的原始、清除的HTML版本。默认值：text
• token（必需）-您的API密钥

如果需要生成最近10-K/Q文件的列表，可以使用查询API（https://sec-api.io/docs/query-api）

请求示例-第1A项风险因素，文本

https://api.sec-api.io/extractor?
url=https://www.sec.gov/Archives/edgar/data/1318605/000156459021004599/tsla-10k_20201231.htm&
item=1A&
type=text&
token=YOUR_API_KEY

响应示例-第1A项风险因素，文本

You should carefully consider the risks described below together with the other information set forth in this report, which could materially affect our business, financial condition and future results. The risks described below are not the only risks facing our company. Risks and uncertainties not currently known to us or that we currently deem to be immaterial also may materially adversely affect our business, financial condition and operating results.

Risks Related to Our Ability to Grow Our Business

We may be impacted by macroeconomic conditions resulting from the global COVID-19 pandemic.

Since the first quarter of 2020, there has been a worldwide impact from the COVID-19 pandemic. Government regulations and shifting social behaviors have limited or closed non-essential transportation, government functions, business activities and person-to-person interactions. In some cases, the relaxation of such trends has recently been followed by actual or contemplated returns to stringent restrictions on gatherings or commerce, including in parts of the U.S. and a number of areas in Europe.

We temporarily suspended operations at each of our manufacturing facilities worldwide for a part of the first half of 2020. Some of our suppliers and partners also experienced temporary suspensions before resuming, including Panasonic, which manufactures battery cells for our products at our Gigafactory Nevada. We also instituted temporary employee furloughs and compensation reductions while our U.S. operations were scaled back. Reduced operations or closures at motor vehicle departments, vehicle auction houses and municipal and utility company inspectors have resulted in challenges in or postponements for our new vehicle deliveries, used vehicle sales and energy product deployments. Global trade conditions and consumer trends may further adversely impact us and our industries. For example, pandemic-related issues have exacerbated port congestion and intermittent supplier shutdowns and delays, resulting in additional expenses to expedite delivery of critical parts. Similarly, increased demand for personal electronics has created a shortfall of microchip supply, and it is yet unknown how we may be impacted. Sustaining our production trajectory will require the readiness and solvency of our suppliers and vendors, a stable and motivated production workforce and ongoing government cooperation, including for travel and visa allowances. The contingencies inherent in the construction of and ramp at new facilities such as Gigafactory Shanghai, Gigafactory Berlin and Gigafactory Texas may be exacerbated by these challenges.

We cannot predict the duration or direction of current global trends, the sustained impact of which is largely unknown, is rapidly evolving and has varied across geographic regions. Ultimately, we continue to monitor macroeconomic conditions to remain flexible and to optimize and evolve our business as appropriate, and we will have to accurately project demand and infrastructure requirements globally and deploy our production, workforce and other resources accordingly. If current global market conditions continue or worsen, or if we cannot or do not maintain operations at a scope that is commensurate with such conditions or are later required to or choose to suspend such operations again, our business, prospects, financial condition and operating results may be harmed.

We may experience delays in launching and ramping the production of our products and features, or we may be unable to control our manufacturing costs.

We have previously experienced and may in the future experience launch and production ramp delays for new products and features. For example, we encountered unanticipated supplier issues that led to delays during the ramp of Model X and experienced challenges with a supplier and with ramping full automation for certain of our initial Model 3 manufacturing processes. In addition, we may introduce in the future new or unique manufacturing processes and design features for our products. There is no guarantee that we will be able to successfully and timely introduce and scale such processes or features.

In particular, our future business depends in large part on increasing the production of mass-market vehicles including Model 3 and Model Y, which we are planning to achieve through multiple factories worldwide. We have relatively limited experience to date in manufacturing Model 3 and Model Y at high volumes and even less experience building and ramping vehicle production lines across multiple factories in different geographies. In order to be successful, we will need to implement, maintain and ramp efficient and cost-effective manufacturing capabilities, processes and supply chains and achieve the design tolerances, high quality and output rates we have planned at our manufacturing facilities in California, Nevada, Texas, China and Germany. We will also need to hire, train and compensate skilled employees to operate these facilities. Bottlenecks and other unexpected challenges such as those we experienced in the past may arise during our production ramps, and we must address them promptly while continuing to improve manufacturing processes and reducing costs. If we are not successful in achieving these goals, we could face delays in establishing and/or sustaining our Model 3 and Model Y ramps or be unable to meet our related cost and profitability targets.

We may also experience similar future delays in launching and/or ramping production of our energy storage products and Solar Roof; new product versions or variants; new vehicles such as Tesla Semi, Cybertruck and the new Tesla Roadster; and future features and services such as new Autopilot or FSD features and the autonomous Tesla ride-hailing network. Likewise, we may encounter delays with the design, construction and regulatory or other approvals necessary to build and bring online future manufacturing facilities and products.

Any delay or other complication in ramping the production of our current products or the development, manufacture, launch and production ramp of our future products, features and services, or in doing so cost-effectively and with high quality, may harm our brand, business, prospects, financial condition and operating results.

We may be unable to grow our global product sales, delivery and installation capabilities and our servicing and vehicle charging networks, or we may be unable to accurately project and effectively manage our growth.

Our success will depend on our ability to continue to expand our sales capabilities . We also frequently adjust our retail operations and product offerings in order to optimize our reach, costs, product line-up and model differentiation and customer experience. However, there is no guarantee that such steps will be accepted by consumers accustomed to traditional sales strategies. For example, marketing methods such as touchless test drives that we have pioneered in certain markets have not been proven at scale. We are targeting with Model 3 and Model Y a global mass demographic with a broad range of potential customers, in which we have relatively limited experience projecting demand and pricing our products. We currently produce numerous international variants at a limited number of factories, and if our specific demand expectations for these variants prove inaccurate, we may not be able to timely generate deliveries matched to the vehicles that we produce in the same timeframe or that are commensurate with the size of our operations in a given region. Likewise, as we develop and grow our energy products and services worldwide, our success will depend on our ability to correctly forecast demand in various markets.

Because we do not have independent dealer networks, we are responsible for delivering all of our vehicles to our customers. While we have improved our delivery logistics, we may face difficulties with deliveries at increasing volumes, particularly in international markets requiring significant transit times. For example, we saw challenges in ramping our logistics channels in China and Europe to initially deliver Model 3 there in the first quarter of 2019. We have deployed a number of delivery models, such as deliveries to customers’ homes and workplaces and touchless deliveries, but there is no guarantee that such models will be scalable or be accepted globally. Likewise, as we ramp Solar Roof, we are working to substantially increase installation personnel and decrease installation times. If we are not successful in matching such capabilities with actual production, or if we experience unforeseen production delays or inaccurately forecast demand for the Solar Roof, our business, financial condition and operating results may be harmed.

Moreover, because of our unique expertise with our vehicles, we recommend that our vehicles be serviced by us or by certain authorized professionals. If we experience delays in adding such servicing capacity or servicing our vehicles efficiently, or experience unforeseen issues with the reliability of our vehicles, particularly higher-volume and newer additions to our fleet such as Model 3 and Model Y, it could overburden our servicing capabilities and parts inventory. Similarly, the increasing number of Tesla vehicles also requires us to continue to rapidly increase the number of our Supercharger stations and connectors throughout the world.

There is no assurance that we will be able to ramp our business to meet our sales, delivery, installation, servicing and vehicle charging targets globally, that our projections on which such targets are based will prove accurate or that the pace of growth or coverage of our customer infrastructure network will meet customer expectations. These plans require significant cash investments and management resources and there is no guarantee that they will generate additional sales or installations of our products, or that we will be able to avoid cost overruns or be able to hire additional personnel to support them. As we expand, w e will also need to ensure our compliance with regulatory requirements in various jurisdictions applicable to the sale, installation and servicing of our products, the sale or dispatch of electricity related to our energy products and the operation of Superchargers. If we fail to manage our growth effectively, it may harm our brand, business, prospects, financial condition and operating results.

Our future growth and success are dependent upon consumers’ demand for electric vehicles and specifically our vehicles in an automotive industry that is generally competitive, cyclical and volatile.

If the market for electric vehicles in general and Tesla vehicles in particular does not develop as we expect, develops more slowly than we expect, or if demand for our vehicles decreases in our markets or our vehicles compete with each other, our business, prospects, financial condition and operating results may be harmed.

We are still at an earlier stage and have limited resources and production relative to established competitors that offer internal combustion engine vehicles. In addition, electric vehicles still comprise a small percentage of overall vehicle sales. As a result, the market for our vehicles could be negatively affected by numerous factors, such as:

- perceptions about electric vehicle features, quality, safety, performance and cost;

- perceptions about the limited range over which electric vehicles may be driven on a single battery charge, and access to charging facilities;

- competition, including from other types of alternative fuel vehicles, plug-in hybrid electric vehicles and high fuel-economy internal combustion engine vehicles;

- volatility in the cost of oil and gasoline, such as wide fluctuations in crude oil prices during 2020;

- government regulations and economic incentives; and

- concerns about our future viability.

文件：https://sec-api.io/docs/sec-filings-item-extraction-api