SEC 13F filings

NOTE: This is the documentation for the websocket channel sec:13f_filings. Websocket access for personal use is only available through the Advanced plan. You can find fully-functional examples that stream data from many channels here:

Connect to the websocket URI: wss://api.unusualwhales.com/socket?token=<YOUR_API_TOKEN> then join the sec:13f_filings channel. Each message carries one 13F filing of an institution (13F-HR, 13F-NT, 13F-CTR and their amendments). The holdings are not listed one by one. The message totals their value and their share count per security type: shares, funds, warrants, call options, put options, preferred stock and debt. The sec:13f_alerts channel carries a summary of the position changes and the top holdings of a report.

Delivery characteristics

Updates are event driven. The channel stays silent until a 13F filing is processed. There is no heartbeat and no fixed schedule.
A notice filing carries no holdings. A 13F-NT states that another manager reports the holdings, so its values and counts are 0.
Messages are not deduplicated. If the same filing is published twice, you receive it twice. Identify a filing by accession_no.
The channel sends nothing when you join. Messages sent while you are disconnected are not replayed.
The channel is global only. It covers every institution at once. A join on sec:13f_filings:<TICKER> is answered with an {"error": "..."} frame.

Payload format:

[
  "sec:13f_filings",
  {
    "accession_no": "0001104659-26-112606",
    "cik": "0001452208",
    "company": "CACTI ASSET MANAGEMENT LLC",
    "formtype": "13F-HR",
    "total_holdings": 79,
    "unique_holdings": 79,
    "total_value": 1894004518,
    "report_period_end_date": "2026-09-30",
    "is_amendment": false,
    "amendment_no": 0,
    "amendment_type": "",
    "filing_date": "2026-10-01",
    "file_number": "028-14121",
    "share_value": 1833017288,
    "share_holdings_cnt": 11154523,
    "fund_value": 60987230,
    "fund_holdings_cnt": 325493,
    "warrant_value": 0,
    "warrant_holdings_cnt": 0,
    "call_value": 0,
    "call_holdings_cnt": 0,
    "put_value": 0,
    "put_holdings_cnt": 0,
    "pfd_value": 0,
    "pfd_holdings_cnt": 0,
    "debt_value": 0,
    "debt_holdings_cnt": 0,
    "agg_total_value": 1894004518,
    "agg_total_holdings": 79,
    "agg_unique_holdings": 79,
    "agg_total_holdings_cnt": 11480016,
    "buy_value": 0.0,
    "sell_value": 0.0
  }
]

Field reference

Every field is present in every message. A value the filing does not provide is sent as an empty string, 0 or false, never as null. A 0 can therefore mean either zero or not reported. Dates are strings in YYYY-MM-DD format, and values are in USD. The fields that start with agg_, and buy_value and sell_value, cover the whole report period, including the amendments filed for it. The other totals cover this filing only.

Field	Type	Description
`accession_no`	string	SEC accession number of the filing.
`cik`	string	SEC CIK of the filing institution.
`company`	string	Name of the filing institution.
`formtype`	string	SEC form type, such as `13F-HR`, `13F-HR/A` or `13F-NT`.
`total_holdings`	int	Number of holdings reported in the filing.
`unique_holdings`	int	Number of distinct tickers held.
`total_value`	int	Value of all reported holdings.
`report_period_end_date`	string	End date of the quarter the holdings are reported for.
`is_amendment`	boolean	Whether the filing amends an earlier 13F filing.
`amendment_no`	int	Amendment number. `0` when the filing is not an amendment.
`amendment_type`	string	Type of the amendment, such as `NEW HOLDINGS` or `RESTATEMENT`. Empty string when the filing is not an amendment.
`filing_date`	string	Date the filing was published to the SEC.
`file_number`	string	SEC file number assigned to the filer, such as `028-14121`.
`share_value`	int	Value of the equity share holdings.
`share_holdings_cnt`	int	Number of shares across the equity share holdings.
`fund_value`	int	Value of the fund holdings (mutual funds and ETFs).
`fund_holdings_cnt`	int	Number of shares across the fund holdings.
`warrant_value`	int	Value of the warrant holdings.
`warrant_holdings_cnt`	int	Number of shares across the warrant holdings.
`call_value`	int	Value of the call option holdings.
`call_holdings_cnt`	int	Number of shares across the call option holdings.
`put_value`	int	Value of the put option holdings.
`put_holdings_cnt`	int	Number of shares across the put option holdings.
`pfd_value`	int	Value of the preferred stock holdings.
`pfd_holdings_cnt`	int	Number of shares across the preferred stock holdings.
`debt_value`	int	Value of the debt holdings.
`debt_holdings_cnt`	int	Number of shares across the debt holdings.
`agg_total_value`	int	Value of all holdings for the report period.
`agg_total_holdings`	int	Number of holdings for the report period.
`agg_unique_holdings`	int	Number of distinct tickers for the report period.
`agg_total_holdings_cnt`	int	Number of shares across all holdings for the report period.
`buy_value`	float	Total value bought in the report period.
`sell_value`	float	Total value sold in the report period.

The payload has the fields of the Kafka message Form13F_HR, published to the topic sec-filings under the key form13f.

Overview

Channels

Delivery characteristics

Field reference

​Delivery characteristics

​Field reference

Delivery characteristics

Field reference