out_sec10k__parents_and_subsidiaries
A denormalized table containing information about parent companies that file SEC Form 10-K and their subsidiaries, which may or may not file Form 10-K.
- Most-recent data:
2023
- Processing:
Data has been expanded into a wide/denormalized format, with IDs and codes accompanied by human-readable names and descriptions.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k, subsidiary_company_id_sec10k
Usage Warnings
This data has been extracted probabilistically using a machine learning model and contains some incompletions and errors. It should not be treated as ground truth data.
PUDL does not currently update its copy of this data.
Additional Details
Company ownership fractions are extracted from SEC 10-K Exhibit 21. Information about the companies is extracted primarily from the headers of the SEC 10-K filing. Subsidiaries that file Form 10-K will have much more information available than those that only appear as subsidiaries in Exhibit 21.
SEC 10-K filers and EIA utilities are matched using probabilistic record linkage. Exhibit 21 subsidiaries that don't file a Form 10-K are matched to EIA utilities using the company name.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Name of subsidiary company.
Location of subsidiary company. This is the full US state name or country name and occasionally a two digit code that was not mapped to a full name during cleaning.
PUDL-assigned ID for subsidiaries found in SEC 10-K Exhibit 21. The ID is created by concatenating the CIK of the company whose filing the subsidiary was found in, the subsidiary company's name, and location of incorporation. It is not guaranteed to be stable across different releases of PUDL and so should never be hard-coded in analyses.
Proportion of generator ownership attributable to this utility.
Central index key (CIK) of the parent company.
Name of the parent company.
Date on which the filing was submitted.
Date reported.
Phone number of the parent company.
City where the parent company's place of business is located.
State where the parent company's place of business is located.
Street address of the parent company's place of business.
Second line of the street address of the parent company's place of business.
Zip code of the parent company's place of business.
Zip code suffix of the company's place of business.
City of the parent company's mailing address.
State of the parent company's mailing address.
Street portion of the parent company's mailing address.
Second line of the street portion of the parent company's mailing address.
Zip code of the parent company's mailing address.
Zip code suffix of the parent company's mailing address.
Two letter state code where parent company is incorporated.
The EIA utility ID of the parent company.
The EIA reported utility name of the parent company.
Text description of the parent company's Standard Industrial Classification (SIC)
Four-digit Standard Industrial Classification (SIC) code identifying the parent company's primary industry. SIC codes have been replaced by NAICS codes in many applications, but are still used by the SEC. See e.g. https://www.osha.gov/data/sic-manual for code definitions.
Taxpayer ID of the parent company with the IRS.
Central index key (CIK) of the subsidiary company.
Phone number of the subsidiary company.
City where the subsidiary company's place of business is located.
State where the subsidiary company's place of business is located.
Street address of the subsidiary company's place of business.
Second line of the street address of the subsidiary company's place of business.
Zip code of the subsidiary company's place of business.
Zip code suffix of the subsidiary company's place of business.
City of the subsidiary company's mailing address.
State of the parent company's mailing address.
Street portion of the subsidiary company's mailing address.
Second line of the street portion of the subsidiary company's mailing address.
Zip code of the subsidiary company's mailing address.
Zip code suffix of the subsidiary company's mailing address.
Two letter state code where subisidary company is incorporated.
The EIA utility ID of the subsidiary company.
The EIA reported utility name of the subsidiary company.
Text description of the subsidiary company's Standard Industrial Classification (SIC)
Four-digit Standard Industrial Classification (SIC) code identifying the subsidiary company's primary industry. SIC codes have been replaced by NAICS codes in many applications, but are still used by the SEC. See e.g. https://www.osha.gov/data/sic-manual for code definitions.
Taxpayer ID of the subsidiary company with the IRS.
out_sec10k__quarterly_filings
Quarterly time series of metadata describing SEC 10-K filings.
- Most-recent data:
2023
- Processing:
Data has been expanded into a wide/denormalized format, with IDs and codes accompanied by human-readable names and descriptions.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
Each SEC 10-K filing is submitted by a single company, but may contain information about numerous other companies. This table indicates the company submitting the filing, as well as some information about the overall filing. Each filing is guaranteed to have a unique filename, but ~1% of all filings are one company submitting the same form multiple times on the same day, so the filename is the only available natural primary key. This output table adds a link to the source URL for the filing, which is constructed from the filename.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Identifier of the company in SEC database.
Name of the reporting company.
Specific version of SEC 10-K that was filed. 10-k: the standard annual report. 10-k/a: an amended version of the annual report. 10-k405: filed to report insider trading that was not reported in a timely fashion. 10-k405/a: an amended version of the 10-k405. 10-kt: submitted in lieu of or in addition to a standard 10-K annual report when a company changes the end of its fiscal year (e.g. due to a merger) leaving the company with a longer or shorter reporting period. 10-kt/a: an amended version of the 10-kt. 10-ksb: the annual report for small businesses, also known as penny stocks. 10-ksb/a: an amended version of the 10-ksb.
Date on which the filing was submitted.
Version of exhibit 21 submitted (if applicable).
Date reported.
URL pointing to the original source of the data in the record.
out_sec10k__changelog_company_name
Changelog table tracking changes in the names each SEC 10-K filer has used.
- Most-recent data:
2023
- Processing:
Data is ready for use in analyses, but for practical reasons has not been denormalized and remains in narrow format.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
This table has no primary key.
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
We use the company name reported in association with each name change block in the company information table to fill in the most recent value of company_name_new. Roughly 1,000 reported "name changes" in which the old and new names were identical have been dropped.
Columns
Identifier of the company in SEC database.
Date of last name change of the company.
Name of company prior to name change.
Name of company after name change.
out_sec10k__quarterly_company_information
Quarterly time series of company and filing data extracted from SEC 10-K filings.
- Most-recent data:
2023
- Processing:
Data has been expanded into a wide/denormalized format, with IDs and codes accompanied by human-readable names and descriptions.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k, central_index_key
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
In addition to the information provided by the core_sec10k__quarterly_company_information table, this output table merges in the associated utility_id_eia (and utility name) if it is available, as well as the report and filing dates associated with the filing each record was extracted from, as well as providing a link to the source URL for the filing.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Identifier of the company in SEC database.
A counter indicating which observation of company data within an SEC 10-K filing header the record pertains to.
The EIA Utility Identification number.
The name of the utility.
Date reported.
Date on which the filing was submitted.
Name of the reporting company.
The end date of an SEC filing company's fiscal year, in MMDD format.
Taxpayer ID of the company with the IRS.
Two letter state code where company is incorporated.
Text description of Standard Industrial Classification (SIC)
A higher level industry category defined within the Standard Industrial Classification (SIC) system.
Four-digit Standard Industrial Classification (SIC) code identifying the company's primary industry. SIC codes have been replaced by NAICS codes in many applications, but are still used by the SEC. See e.g. https://www.osha.gov/data/sic-manual for code definitions.
Document control number used in the SEC EDGAR database. The first four digits can be used to access scans of the document in the SEC's Virtual Private Reference Room.
Specific version of SEC 10-K that was filed. 10-k: the standard annual report. 10-k/a: an amended version of the annual report. 10-k405: filed to report insider trading that was not reported in a timely fashion. 10-k405/a: an amended version of the 10-k405. 10-kt: submitted in lieu of or in addition to a standard 10-K annual report when a company changes the end of its fiscal year (e.g. due to a merger) leaving the company with a longer or shorter reporting period. 10-kt/a: an amended version of the 10-kt. 10-ksb: the annual report for small businesses, also known as penny stocks. 10-ksb/a: an amended version of the 10-ksb.
SEC Act through which the form was enacted, e.g. 1934 act.
Filing number used internally by the SEC commission to track filing.
Phone number for utility contact 1.
Street address of the company's place of business.
Second line of the street address of the company's place of business.
City where the company's place of business is located.
State where the company's place of business is located.
Zip code of the company's place of business.
Zip code suffix of the company's place of business.
Non-US postal code of the company's place of business.
Street portion of the company's mailing address.
Second line of the street portion of the company's mailing address.
City of the company's mailing address.
State of the company's mailing address.
Zip code of the company's mailing address.
Zip code suffix of the company's mailing address.
Non-US postal code of the company's mailing address.
URL pointing to the original source of the data in the record.
core_sec10k__assn_sec10k_filers_and_eia_utilities
Association table providing connections between SEC 10-K filers and EIA utilities.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
central_index_key, utility_id_eia
Usage Warnings
This data has been matched probabilistically using a machine learning model and contains some incompletions and errors. It should not be treated as ground truth data.
PUDL does not currently update its copy of this data.
Additional Details
SEC central index keys are matched to EIA utility IDs using probabilistic record linkage based on associated company information like company name, business and mailing addresses, and state of incorporation. The match between central_index_key and utility_id_eia is one to one and is not allowed to change over time. In cases where there were multiple candidate matches, the match with the highest probability is selected.
Columns
Identifier of the company in SEC database.
The EIA Utility Identification number.
core_sec10k__quarterly_filings
Quarterly time series of metadata describing SEC 10-K filings.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
Each SEC 10-K filing is submitted by a single company, but may contain information about numerous other companies. This table indicates the company submitting the filing, as well as some information about the overall filing. Each filing is guaranteed to have a unique filename, but ~1% of all filings are one company submitting the same form multiple times on the same day, so the filename is the only available natural primary key.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Identifier of the company in SEC database.
Name of the reporting company.
Specific version of SEC 10-K that was filed. 10-k: the standard annual report. 10-k/a: an amended version of the annual report. 10-k405: filed to report insider trading that was not reported in a timely fashion. 10-k405/a: an amended version of the 10-k405. 10-kt: submitted in lieu of or in addition to a standard 10-K annual report when a company changes the end of its fiscal year (e.g. due to a merger) leaving the company with a longer or shorter reporting period. 10-kt/a: an amended version of the 10-kt. 10-ksb: the annual report for small businesses, also known as penny stocks. 10-ksb/a: an amended version of the 10-ksb.
Date on which the filing was submitted.
Version of exhibit 21 submitted (if applicable).
Date reported.
core_sec10k__changelog_company_name
Changelog table tracking changes in the names each SEC 10-K filer has used.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
This table has no primary key.
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
This table is extracted from the same SEC 10-K filing header information as core_sec10k__quarterly_company_information. Each filing reports the full history of name change associated with a company up to the date of that filing. Because individual companies may appear in multiple filings in the same year, and the same historical name changes will be reported in multiple years, the raw input data contains many duplicate entries, which are deduplicated to create this table. The original name change data only contains the former name and the date of the change.
Roughly 2% of all records describe multiple name changes happening on the same date (they are duplicates on the basis of central_index_key and name_change_date). This may be due to company name reporting inconsistencies or reporting errors in which the old and new company names have been swapped.
Columns
Identifier of the company in SEC database.
Date of last name change of the company.
Name of company prior to name change.
Name of the reporting company.
core_sec10k__quarterly_company_information
Quarterly time series of company and filing information extracted from SEC 10-K filing headers.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k, central_index_key
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
While the SEC 10-K filings are submitted by a single company, they often contain references to many other related companies. Information about these companies and the filing itself are contained in text headers at the beginning of the filing. This table contains data extracted from those headers. Each record in this table represents a single observation of a company in a single filing. The filer_count indicates which referenced company within a filing header the record corresponds to.
Because the same company may be referenced in a number of different filings submitted in the same reporting period or even on the same day, this table contains apparently duplicative records about many companies, that may be distinguished only by the filename associated with the filing they appeared in and their filer count. Note that all references to a particular company may not be perfectly consistent across all filings in which they appear. The various company names, addresses, and other information associated with the company's unique and permanent central_index_key are later used as inputs into the probabilistic record linkage process.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Identifier of the company in SEC database.
A counter indicating which observation of company data within an SEC 10-K filing header the record pertains to.
Name of the reporting company.
The end date of an SEC filing company's fiscal year, in MMDD format.
Taxpayer ID of the company with the IRS.
Two letter state code where company is incorporated.
Text description of Standard Industrial Classification (SIC)
Four-digit Standard Industrial Classification (SIC) code identifying the company's primary industry. SIC codes have been replaced by NAICS codes in many applications, but are still used by the SEC. See e.g. https://www.osha.gov/data/sic-manual for code definitions.
Document control number used in the SEC EDGAR database. The first four digits can be used to access scans of the document in the SEC's Virtual Private Reference Room.
Specific version of SEC 10-K that was filed. 10-k: the standard annual report. 10-k/a: an amended version of the annual report. 10-k405: filed to report insider trading that was not reported in a timely fashion. 10-k405/a: an amended version of the 10-k405. 10-kt: submitted in lieu of or in addition to a standard 10-K annual report when a company changes the end of its fiscal year (e.g. due to a merger) leaving the company with a longer or shorter reporting period. 10-kt/a: an amended version of the 10-kt. 10-ksb: the annual report for small businesses, also known as penny stocks. 10-ksb/a: an amended version of the 10-ksb.
SEC Act through which the form was enacted, e.g. 1934 act.
Filing number used internally by the SEC commission to track filing.
Phone number for utility contact 1.
Street address of the company's place of business.
Second line of the street address of the company's place of business.
City where the company's place of business is located.
State where the company's place of business is located.
Zip code of the company's place of business.
Zip code suffix of the company's place of business.
Non-US postal code of the company's place of business.
Street portion of the company's mailing address.
Second line of the street portion of the company's mailing address.
City of the company's mailing address.
State of the company's mailing address.
Zip code of the company's mailing address.
Zip code suffix of the company's mailing address.
Non-US postal code of the company's mailing address.
core_sec10k__assn_exhibit_21_subsidiaries_and_filers
Association table providing connections between subsidiaries listed in Exhibit 21 and their SEC central index key, if the subsidiary also files Form 10-K.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
subsidiary_company_id_sec10k
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
Exhibit 21 subsidiaries and SEC 10-K filers are considered matched if they have identical names and the same location of incorporation.
Columns
PUDL-assigned ID for subsidiaries found in SEC 10-K Exhibit 21. The ID is created by concatenating the CIK of the company whose filing the subsidiary was found in, the subsidiary company's name, and location of incorporation. It is not guaranteed to be stable across different releases of PUDL and so should never be hard-coded in analyses.
Identifier of the company in SEC database.
core_sec10k__quarterly_exhibit_21_company_ownership
Quarterly time series of subsidiary company ownership data from the SEC 10-K Exhibit 21 attachments.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
filename_sec10k, subsidiary_company_id_sec10k
Usage Warnings
This data has been extracted probabilistically using a machine learning model and contains some incompletions and errors. It should not be treated as ground truth data.
PUDL does not currently update its copy of this data.
Additional Details
Exhibit 21 is an unstructured text or PDF attachment to the main SEC 10-K filing that is used to describe the subsidiaries owned by the filing company. It may or may not provide the percentage of the subsidiary that is owned by the filing company, or the location of the subsidiary.
Columns
Unique portion of the filename associated with the SEC 10-K filing in the EDGAR database. The full source URL can be reconstructed by prepending https://www.sec.gov/Archives/edgar/data/ and adding the .txt file type extension.
Name of subsidiary company.
Location of subsidiary company. This is the full US state name or country name and occasionally a two digit code that was not mapped to a full name during cleaning.
PUDL-assigned ID for subsidiaries found in SEC 10-K Exhibit 21. The ID is created by concatenating the CIK of the company whose filing the subsidiary was found in, the subsidiary company's name, and location of incorporation. It is not guaranteed to be stable across different releases of PUDL and so should never be hard-coded in analyses.
Proportion of generator ownership attributable to this utility.
core_sec10k__assn_exhibit_21_subsidiaries_and_eia_utilities
Association table providing connections between subsidiaries listed in Exhibit 21 and EIA utilities.
- Most-recent data:
2023
- Processing:
Data has been cleaned and organized into well-modeled tables that serve as building blocks for downstream wide tables and analyses.
- Source:
U.S. Securities and Exchange Commission (SEC) Form 10-K
- Primary key:
subsidiary_company_id_sec10k
Usage Warnings
PUDL does not currently update its copy of this data.
Additional Details
An Exhibit 21 subsidiary is considered matched to an EIA utility if their names are identical. Only subsidiaries that don't file SEC 10-K themselves are included in this table. SEC 10-K filers have much more information available and are matched to EIA utilities using probabilistic record linkage in core_sec10k__assn_sec10k_filers_and_eia_utilities.
Columns
PUDL-assigned ID for subsidiaries found in SEC 10-K Exhibit 21. The ID is created by concatenating the CIK of the company whose filing the subsidiary was found in, the subsidiary company's name, and location of incorporation. It is not guaranteed to be stable across different releases of PUDL and so should never be hard-coded in analyses.
The EIA Utility Identification number.