sec-edgar-api/build/services/DocumentParser/parsers/parse-insider-transaction.js

Fetch and parse SEC earnings reports and other filings. Useful for financial analysis.

"use strict";
Object.defineProperty(exports, "__esModule", { value: true });
exports.parseInsiderTransactions = void 0;
function parseTable(html) {
    var rows = html.split('<tr');
    return rows
        .map(function (rowHtml) {
        return rowHtml
            .split('<td')
            .map(function (cellHtml) { return cellHtml.substring(cellHtml.indexOf('>') + 1, cellHtml.lastIndexOf('</td>')); })
            .slice(1);
    })
        .filter(function (row) { return row.length > 0; });
}
function stripHtml(html) {
    return html
        .replace(/<.*?>/g, '')
        .replace(/&nbsp;/g, ' ')
        .replace(/\n/g, ' ')
        .replace(/\s+/, ' ')
        .trim();
}
function toNumber(value) {
    return Number(value.replace(/,/g, '').trim()) || 0;
}
function parseInsiderTransactions(params) {
    var _a, _b, _c, _d;
    var xml = params.xml;
    var ownerTableHeadingIndex = xml.indexOf('sortid=');
    var transactionTableIdIndex = xml.indexOf('id="transaction-report"');
    if (ownerTableHeadingIndex === -1) {
        throw new Error('Owner table heading not found in XML data');
    }
    var ownerTableStartIndex = xml.lastIndexOf('<table', ownerTableHeadingIndex);
    var ownerTableEndIndex = xml.indexOf('</table>', ownerTableHeadingIndex) + 8;
    var ownerTableHtml = xml.substring(ownerTableStartIndex, ownerTableEndIndex);
    var transactionTableStartIndex = xml.lastIndexOf('<table', transactionTableIdIndex);
    var transactionTableEndIndex = xml.indexOf('</table>', transactionTableIdIndex) + 8;
    var transactionTableHtml = xml.substring(transactionTableStartIndex, transactionTableEndIndex);
    var issuerUrlIndex = xml.indexOf('cgi-bin/browse-edgar?action=getcompany');
    var issuerUrlStartIndex = xml.lastIndexOf('<b>', issuerUrlIndex) + 3;
    var issuerUrlEndIndex = xml.indexOf('</b>', issuerUrlIndex);
    var issuerHtml = xml.substring(issuerUrlStartIndex, issuerUrlEndIndex).trim();
    var issuerHtmlCikStart = issuerHtml.lastIndexOf('(') + 1;
    var issuerCik = toNumber(stripHtml(issuerHtml.substring(issuerHtmlCikStart, issuerHtml.lastIndexOf(')'))));
    var issuerName = issuerHtml.substring(0, issuerHtmlCikStart - 1).trim();
    var headerOwner = ['owner_name', 'filings', 'transaction_date', 'type_of_owner'];
    var headerTransaction = [
        'acquisition_or_disposition',
        'transaction_date',
        'deemed_execution_date',
        'reporting_owner',
        'form',
        'transaction_type',
        'direct_or_indirect_ownership',
        'num_securities_transacted',
        'num_securities_following',
        'line_number',
        'owner_cik',
        'security_title',
    ];
    var ownerByCik = new Map();
    var ownerRows = parseTable(ownerTableHtml);
    var transactionRows = parseTable(transactionTableHtml);
    var isSwitchedOwnerIssuer = stripHtml((_b = (_a = ownerRows[0]) === null || _a === void 0 ? void 0 : _a[0]) === null || _b === void 0 ? void 0 : _b.toLowerCase()).includes('issuer') || false;
    for (var i = 1; i < ownerRows.length; i++) {
        var row = ownerRows[i];
        // if (row.length === 0 || row[0].includes('Owner Name') || row[0].includes('Issuer')) continue // Skip header row
        var owner = {
            ownerName: '',
            ownerCik: 0,
            ownerPosition: null,
            isDirector: false,
            isOfficer: false,
            isTenPercentOwner: false,
        };
        for (var i_1 = 0; i_1 < row.length; i_1++) {
            var colName = headerOwner[i_1];
            var htmlStripped = stripHtml(row[i_1]);
            switch (colName) {
                case 'owner_name':
                    owner.ownerName = htmlStripped.split('Current Name')[0];
                    break;
                case 'filings':
                    owner.ownerCik = toNumber(htmlStripped);
                    break;
                case 'type_of_owner': {
                    var _e = htmlStripped.split(':').map(function (s) { return s.toLowerCase().trim(); }), ownerType = _e[0], _f = _e[1], position = _f === void 0 ? null : _f;
                    owner.isDirector = ownerType.includes('director');
                    owner.isOfficer = ownerType.includes('officer');
                    owner.isTenPercentOwner = ownerType.includes('10 percent') || ownerType.includes('10%');
                    owner.ownerPosition = position;
                    break;
                }
            }
        }
        ownerByCik.set(owner.ownerCik, owner);
    }
    var transactions = [];
    for (var _i = 0, transactionRows_1 = transactionRows; _i < transactionRows_1.length; _i++) {
        var row = transactionRows_1[_i];
        if (row.length === 0 || row[0].includes('Acquisition or Dis'))
            continue; // Skip header row
        var transaction = {
            ownerName: '',
            ownerCik: 0,
            ownerPosition: null,
            issuerCik: issuerCik,
            issuerName: issuerName,
            isDirector: false,
            isOfficer: false,
            accessionNumber: '',
            deemedExecutionDate: '',
            form: '',
            /** true = buy, false = sell */
            isAcquisition: false,
            isDirectOwnership: false,
            securityTitle: '',
            transactionDate: '',
            transactionCode: '',
            transactionShares: 0,
            sharesOwnedFollowingTransaction: 0,
            lineNumber: 0,
            isTenPercentOwner: false,
        };
        for (var i = 0; i < row.length; i++) {
            var colName = headerTransaction[i];
            var html = row[i];
            var htmlStripped = stripHtml(html);
            switch (colName) {
                case 'acquisition_or_disposition':
                    transaction.isAcquisition = String(htmlStripped).toLowerCase() === 'a';
                    break;
                case 'transaction_date':
                    transaction.transactionDate = htmlStripped;
                    break;
                case 'deemed_execution_date':
                    transaction.deemedExecutionDate = htmlStripped;
                    break;
                case 'reporting_owner':
                    break;
                case 'form': {
                    var url = (_d = (_c = html.match(/href="([^"]+)"/)) === null || _c === void 0 ? void 0 : _c[1]) !== null && _d !== void 0 ? _d : '';
                    transaction.accessionNumber = url.substring(url.lastIndexOf('/') + 1, url.lastIndexOf('-'));
                    transaction.form = htmlStripped;
                    break;
                }
                case 'transaction_type':
                    transaction.transactionCode = htmlStripped.trim()[0];
                    break;
                case 'direct_or_indirect_ownership':
                    transaction.isDirectOwnership = htmlStripped.toLowerCase().includes('d');
                    break;
                case 'num_securities_transacted':
                    transaction.transactionShares = toNumber(htmlStripped) || 0;
                    break;
                case 'num_securities_following':
                    transaction.sharesOwnedFollowingTransaction = toNumber(htmlStripped);
                    break;
                case 'line_number':
                    transaction.lineNumber = toNumber(htmlStripped);
                    break;
                case 'owner_cik': {
                    var owner = ownerByCik.get(toNumber(htmlStripped) || 0);
                    if (owner) {
                        transaction.ownerName = owner.ownerName;
                        transaction.ownerCik = owner.ownerCik;
                        transaction.ownerPosition = owner.ownerPosition;
                        transaction.isDirector = owner.isDirector;
                        transaction.isOfficer = owner.isOfficer;
                        transaction.isTenPercentOwner = owner.isTenPercentOwner;
                    }
                    break;
                }
                case 'security_title':
                    transaction.securityTitle = htmlStripped;
                    break;
            }
        }
        transactions.push(transaction);
    }
    var owners = Array.from(ownerByCik.values());
    var issuers = [{ issuerName: issuerName, issuerCik: issuerCik }];
    // if searching by person, owner and issuer data will be switched
    if (isSwitchedOwnerIssuer) {
        issuers = owners.map(function (owner) { return ({
            issuerName: owner.ownerName,
            issuerCik: owner.ownerCik,
        }); });
        owners = [];
        transactions.forEach(function (transaction) {
            var issuerName = transaction.issuerName, issuerCik = transaction.issuerCik, ownerName = transaction.ownerName, ownerCik = transaction.ownerCik;
            transaction.issuerCik = ownerCik;
            transaction.issuerName = ownerName;
            transaction.ownerCik = issuerCik;
            transaction.ownerName = issuerName;
        });
    }
    return {
        transactions: transactions,
        owners: Array.from(ownerByCik.values()),
        issuers: issuers,
    };
}
exports.parseInsiderTransactions = parseInsiderTransactions;