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📈 SEC Form 11-K Employee Stock Plan Tracker — ESPP & 401(k) Stock Funds

A purpose-built SEC Form 11-K tracker — annual employee stock plan financial reports. Pulls plan assets, employer-stock fund balances, share counts, and contribution flows from every Form 11-K filed in a given year, joined to ticker + CIK + PCAOB auditor.

Form 11-K is the one annual SEC filing that lays out the financials of a company's employee stock plans — ESPPs, 401(k) employer-stock funds, and stock-bonus plans — with net plan assets, employer-stock share counts, participant and employer contributions, and the PCAOB auditor's name. This actor parses every 11-K filed in a given year into structured rows joined to ticker, CIK, and auditor, so equity-comp consultants, ERISA litigators, and benefits-diligence teams get plan-level data that elsewhere sits behind five-figure subscriptions — at pay-per-record pricing.

Commercial plan-level data from vendors like Equilar can run into the thousands of dollars a year. This actor returns comparable Form 11-K plan financials at pay-per-event prices.

⚡ What you get

For every Form 11-K filing the actor returns:

🎯 Use cases

Equity-comp consulting benchmark

Pull every Form 11-K filed in a year by issuers above a plan-asset threshold, group by plan type, and benchmark ESPP discount + 401(k) employer-stock allocation rates across S&P 1500 vs Russell 2000 vs micro-caps — the plan-detail tier of an Equilar-style dataset at pay-per-record cost.

Employer-stock-concentration screen (ERISA fiduciary risk)

Stack the employer-stock fund balance across peer-group filers to surface plans whose 401(k) employer-stock concentration exceeds the 10% fiduciary rule of thumb — direct input into proxy-advisory comp recommendations.

ERISA stock-drop litigation candidate screen

Quarterly scan of newly-filed 11-Ks for plans with high employer-stock concentration plus share-price declines — the leading-indicator pattern for stock-drop class actions (Dudenhoeffer, Jander, Fifth Third). The filing-level source_url + accession lets paralegals jump straight to the audit opinion.

M&A / employee-benefits diligence

Pre-close diligence on a target's retirement plan — participant contribution rate, employer match, and the auditor's opinion track record. Form 11-K is the only public disclosure that puts all three in one document.

Auditor market-share analysis

Roll up auditor_name across all 11-K filers to measure which PCAOB firms dominate the employee-benefit-plan audit market.

🧪 Sample input

{
"company_filter":"",
"ticker_filter":"",
"year":2024,
"min_plan_assets":1000000,
"max_filings":50
}

📦 Sample output (one record)

{
"company":"First Northwest Bancorp",
"cik":"1556727",
"ticker":"FNWB",
"plan_name":"First Fed Bank 401(k) Plan",
"plan_type":"401(k)",
"fiscal_year_end":"2024-06-30",
"total_plan_assets":22487654,
"employer_stock_fund_balance":1142890,
"employer_stock_shares":178420,
"share_value":6.41,
"contributions_employer":612488,
"contributions_participant":1843775,
"filing_date":"2024-12-23",
"auditor_name":"Moss Adams LLP",
"accession_number":"0001437749-24-038204",
"source_url":"https://www.sec.gov/Archives/edgar/data/1556727/000143774924038204/fnwb20240630_11k.htm"
}

🚀 How to use

Python

from apify_client import ApifyClient
client = ApifyClient("YOUR_APIFY_TOKEN")
run = client.actor("nexgendata/sec-form-11-k-employee-stock-plan-tracker").call(
 run_input={
"year":2024,
"min_plan_assets":10_000_000,
"max_filings":100,
}
)
for item in client.dataset(run["defaultDatasetId"]).iterate_items():
print(item["company"], item["plan_type"], item["total_plan_assets"])

cURL

curl-X POST 'https://api.apify.com/v2/acts/nexgendata~sec-form-11-k-employee-stock-plan-tracker/run-sync-get-dataset-items?token=YOUR_APIFY_TOKEN'\
-H'Content-Type: application/json'\
-d'{"year": 2024, "ticker_filter": "FNWB", "max_filings": 5}'

⚖️ Data source & politeness

• Source: SEC EDGAR Full-Text Search (efts.sec.gov/LATEST/search-index?forms=11-K) plus per-filing primary HTML at sec.gov/Archives/edgar/data/{cik}/{accession}/.
• Legal posture: Form 11-K filings are public statutory disclosures under §15(d) of the Exchange Act and ERISA §103. Fully public; SEC EDGAR explicitly invites programmatic access (10 req/sec rate limit) — see SEC EDGAR Fair Access.
• User-Agent: Every request sends a compliant User-Agent per SEC fair-access policy.
• Retry pattern: 3 attempts with 12-second backoff on EDGAR's occasional datacenter 5xx responses.

🧠 How extraction works

Form 11-K is HTML-heavy free-text — there's no standard XBRL tagging for plan-level financials the way 10-K has US-GAAP taxonomies. This actor uses a labeled-regex + nearest-numeric strategy:

1. Plan name — pulled from <title>, the "the 'Plan'" defined-term, or the first plan-keyword line on the cover page
2. Plan type — ESPP / 401(k) / Stock Bonus / Unknown — classified from the plan name first, document-head fallback
3. Total plan assets — labels include "net assets available for benefits", "total plan assets", "plan's net assets"
4. Employer stock fund balance — labels include "employer stock fund", "company stock fund", "common stock fund", "employer securities"
5. Employer stock shares — labels include "shares of company common stock", "shares of employer"
6. Share value — captures per-share NAV or unit value
7. Contributions — separates employer ("matching contributions", "company contributions") from participant ("employee contributions")
8. Auditor — captures the /s/ Firm Name LLP signature line, falls back to a Big-4 / mid-tier name list

Fields the extractor can't confidently fill come back as null rather than guessed. The filing-level source_url is always populated so analysts can verify and supplement by hand.

❓ FAQ

Q: What plans does Form 11-K cover?

A: ESPPs, 401(k) plans with an employer-stock component, and stock-bonus plans. It does not cover option/RSU grant plans (those appear in proxy and Form 4 filings).

Q: Why does year mean filing year, not plan year?

A: 11-Ks lag the plan fiscal year — most plan-year-N filings land in the second half of N or the first half of N+1. year matches the filing date.

Q: What if plan assets can't be parsed?

A: By default such filings are dropped (along with any below min_plan_assets). Set min_plan_assets to 0 to keep everything that parses.

Q: Is the auditor included?

A: Yes — the PCAOB-registered independent auditor's name is captured from the signature line.

Q: How is this cheaper than Equilar?

A: Pay-per-record vs an annual subscription — you pay only for the filings you pull.

🔗 Related actors

• SEC Exec-Comp & Proxy Tracker
• SEC Form 4 Insider Monitor
• SEC Form 3 New Insider Tracker
• SEC Form NT Late Filing Tracker
• SEC Comment Letter Monitor
• Stock Buyback Announcement Tracker

Browse the full catalog at https://apify.com/nexgendata?fpr=2ayu9b.