Sec S1 Ipo Tracker

SEC S-1 IPO Tracker

When to invoke

Trigger on any IPO / registration statement question:

• "What companies are about to IPO?"
• "Recent S-1 filings"
• "IPO calendar April 2026"
• "Tell me about X company's S-1"
• "Who are the hot pre-IPO filers?"
• "Foreign IPO filings (F-1)"

Required input (at least one)

• Date range — start + end dates (default: last 30 days)
• Company CIK or name — to fetch a specific company's S-1
• Industry SIC code — e.g. 7372 (prepackaged software), 2836 (pharmaceutical preparations)
• Amendment filter — include only S-1/A amendments (imminent pricings) or only initial S-1s

Output format

1. IPO calendar summary

"Found {N} S-1/F-1 filings in window. {X} initial filings, {Y} amendments. {Z} in final pricing stage (3+ amendments in last 30 days)."

2. IPOs table

Filed	Company	Ticker	Exchange	Shares	Price	Lead UW	Status

Sort by filing date descending. Mark 📅 PRICING SOON for companies with 3+ amendments in last 30 days.

3. Hot IPOs highlight

For companies approaching pricing (heavy amendment velocity), add a one-paragraph analysis:

• Financial highlights from the latest S-1/A (revenue, profitability, cash)
• Risk factors that seem unusually prominent
• Lead underwriters (Goldman / Morgan Stanley / JPM = blue-chip; smaller = riskier)
• Use of proceeds

4. Foreign filings (F-1)

Separate section for F-1 filings (foreign private issuers — usually Chinese, Israeli, European companies listing on US exchanges).

Data source + procedure

Uses SEC EDGAR. There's no "latest S-1" endpoint, so we use full-text search:

Approach 1: EDGAR full-text search

GET https://efts.sec.gov/LATEST/search-index?forms=S-1,S-1/A,F-1,F-1/A&dateRange=custom&startdt={start}&enddt={end}

Returns hits with source.display_names[], source.file_date, source.form_type, source.adsh (accession number), source.ciks[].

Approach 2: Per-company submissions

If user gives a company name/ticker:

GET https://data.sec.gov/submissions/CIK{cik}.json

Filter filings.recent where form IN ('S-1', 'S-1/A', 'F-1', 'F-1/A').

Fetching the filing content

GET https://www.sec.gov/Archives/edgar/data/{cik-numeric}/{acc-no-dashes}/{primary_doc.htm}

The primary document for S-1 filings is a massive HTML file (sometimes 200+ pages). Key sections to extract via regex / XPath:

• Prospectus Summary — first substantive section
• The Offering — shares offered, price range, underwriters
• Risk Factors — full risk disclosure
• Use of Proceeds — what the company will do with IPO money
• Selected Financial Data — 3-5 years of revenue, COGS, opex, net income
• Management's Discussion and Analysis (MD&A)
• Directors, Executive Officers, and Corporate Governance
• Principal and Selling Stockholders — who owns what going into the IPO

Amendment velocity = pricing proximity

S-1 filings go through multiple rounds of SEC comments. Each SEC round produces an S-1/A amendment. Typical pattern:

• Initial S-1 → SEC response 30-60 days later
• S-1/A #1 (response to SEC comments) → SEC response 20-40 days later
• S-1/A #2 → SEC response 15-30 days later
• S-1/A #3 (final amendment — usually the "pricing range" amendment)
• Pricing within 1-2 weeks after final S-1/A

So 3+ amendments in <30 days = imminent pricing.

Example invocation

User: "What companies are about to IPO?"

The skill should:

1. Query EDGAR full-text search for S-1/A filings in last 14 days
2. Cross-reference with the same CIK's initial S-1 to count amendment velocity
3. Return:

   Found 23 S-1 / S-1/A filings in the last 14 days.
   12 initial S-1 filings, 11 amendments.
   3 companies in PRICING SOON status (3+ amendments):
   
   📅 Databricks Inc — S-1/A #4 filed 2026-04-14
       Ticker: DBRX (proposed), NASDAQ, Lead UWs: Morgan Stanley, Goldman Sachs, JPM
       2025 revenue: $3.1B (+47% YoY). Net loss $(450M) narrowing from $(680M).
       Likely pricing week of April 22, $65-75 range, ~$35B valuation.
   
   📅 Stripe Inc — S-1/A #3 filed 2026-04-10
       Ticker: STRI (proposed), NYSE, Lead UW: Goldman Sachs
       ...
   
   📅 Shein Holdings — F-1/A #5 filed 2026-04-08
       Ticker: SHEI (proposed), NYSE, Lead UWs: Goldman Sachs, JPM
       ...
   

Risk factors to watch for (add to analysis)

Common red flags in S-1 risk factors:

• "Going concern" language — company may not survive if IPO fails
• Single-customer concentration — >20% revenue from one customer
• Auditor qualification — any non-"clean" opinion
• Related-party transactions — loans/payments to insiders
• Pending litigation disclosed in the risk factors section
• China-VIE structure (F-1 filings) — ownership disclaimer for Chinese companies

License + source

SEC EDGAR data is public domain. No API key required.