def __init__(self,
file: Path,
replace: Dict[str, str] = {
"true": "1",
"false": "0"
}):
"""
Initialize the Form5 object from the contents of the file parameter.
Note: Form 5 shares the same underlying schema as Form 4, so this class is not technically required,
but is supplied for convenience, and in case Form 5 specific info needs to be added in the future.
:param file: File source of the document
:param replace: A dictionary that can be used to replace and normalize extracted values, e.g. "true" => "1"
"""
Form4.__init__(self, file, replace)
def test_extract_report_owner_form4_collection(test_form4_collection,
doc_num: int):
"""
Validate Form4 extraction code against a random sample of documents
:param test_form4_collection:
:return:
"""
file = list(test_form4_collection.glob("*.txt"))[doc_num]
doc = Form4(file)
assert doc.filename == file.name
fields_list = doc.report_owners
assert len(fields_list) > 0
for idx, fields in enumerate(fields_list):
assert (len(fields)) == 19
assert fields["filename"] == file.name
assert fields["order"] == f"{idx+1}"
assert fields["type"] == "reportingOwner"
assert fields["index"] == f"reportingOwner{idx+1}"
assert validate(file, fields["rpt_owner_cik"], r"\d{10}")
assert validate(file, fields["rpt_owner_name"], r".+")
assert validate(file, fields["rpt_owner_city"], r".+")
assert validate(file,
fields["is_director"],
r"[10]",
none_allowed=True)
assert validate(file, fields["is_officer"], r"[10]", none_allowed=True)
assert validate(file,
fields["is_ten_percent_owner"],
r"[10]",
none_allowed=True)
assert validate(file, fields["is_other"], r"[10]", none_allowed=True)
def test_extract_nonderivative_trans_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields_list = doc.nonderivatives
assert len(fields_list) == 1
assert fields_list[0]["filename"] == test_form4.name
assert fields_list[0]["accession_num"] == doc.accession_num
assert fields_list[0]["order"] == "1"
assert fields_list[0]["type"] == "nonDerivTrans"
assert fields_list[0]["index"] == "nonDerivTrans1"
assert fields_list[0][
"security_title"] == "Common Stock, par value $0.0001"
assert fields_list[0]["transaction_date"] == "2017-10-17"
assert fields_list[0]["deemed_execution_date"] is None
assert fields_list[0]["transaction_acquired_disposed_code"] == "D"
assert fields_list[0]["transaction_timeliness"] is None
assert fields_list[0]["transaction_price_per_share"] == "0"
assert fields_list[0]["transaction_shares"] == "1278471"
assert fields_list[0]["direct_or_indirect_ownership"] == "I"
assert fields_list[0]["equity_swap_involved"] == "0"
assert fields_list[0]["nature_of_ownership"] == "See Footnote"
assert fields_list[0]["transaction_form_type"] == "4"
assert fields_list[0]["shares_owned_following_transaction"] == "0"
assert fields_list[0]["value_owned_following_transaction"] is None
assert fields_list[0]["transaction_code"] == "J"
def test_extract_doclevel_form4_collection(test_form4_collection):
"""
Validate Form4 extraction code against a random sample of documents
:param test_form4_collection:
:return:
"""
for file in test_form4_collection.glob("*.txt"):
doc = Form4(file)
assert doc.filename == file.name
fields = doc.doc_info
assert len(fields) == 18
assert fields["filename"] == file.name
assert fields["accession_num"] is not None
assert fields["schema_version"] == "X0306"
assert fields["document_type"] == "4"
assert validate(file, fields["accession_num"], r"[\d-]+")
assert validate(file, fields["sec_accept_datetime"], r"\d{14,14}")
assert validate(file, fields["sec_file_num"], r"[\d-]+")
assert validate(file, fields["doc_count"], r"\d+")
assert validate(file, fields["filed_date"], r"\d{8,8}")
assert validate(file, fields["conformed_period_of_report"], r"\d{8,8}")
assert validate(file, fields["change_date"], r"\d{8,8}")
assert validate(file, fields["period_of_report"], r"\d\d\d\d-\d\d-\d\d")
assert validate(
file, fields["not_subject_to_section_16"], r"[10]", none_allowed=True
)
assert validate(file, fields["issuer_cik"], r"\d+")
assert validate(file, fields["issuer_name"], r".+")
assert validate(file, fields["issuer_trading_symbol"], r"[A-Z\.]+")
assert validate(file, fields["regcik"], r"\d+")
assert validate(file, fields["regsic"], r"\d\d\d\d", none_allowed=True)
def test_extract_doclevel_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields = doc.doc_info
assert len(fields) == 18
assert fields["filename"] == test_form4.name
assert fields["accession_num"] == doc.accession_num
assert fields["sec_accept_datetime"] == "20171017200436"
assert fields["sec_file_num"] == "001-32587"
assert fields["doc_count"] == "1"
assert fields["filed_date"] == "20171017"
assert fields["conformed_period_of_report"] == "20171013"
assert fields["change_date"] == "20171017"
assert fields["schema_version"] == "X0306"
assert fields["document_type"] == "4"
assert fields["period_of_report"] == "2017-10-13"
assert fields["not_subject_to_section_16"] is None
assert fields["issuer_cik"] == "0001326190"
assert fields["issuer_name"] == "Altimmune, Inc."
assert fields["issuer_trading_symbol"] == "ALT"
assert fields["remarks"] is None
assert fields["regcik"] == "0001326190"
assert fields["regsic"] == "2834"
def test_extract_signature_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields_list = doc.signatures
assert len(fields_list) == 2
assert len(fields_list[0]) == 7
assert fields_list[0]["filename"] == test_form4.name
assert fields_list[0]["accession_num"] == doc.accession_num
assert fields_list[0]["order"] == "1"
assert fields_list[0]["type"] == "signature"
assert fields_list[0]["index"] == "signature1"
assert (fields_list[0]["signature_name"] ==
"/s/ Ori Solomon, Attorney in fact for Philip Hodges")
assert fields_list[0]["signature_date"] == "2017-10-17"
assert fields_list[1]["filename"] == test_form4.name
assert fields_list[1]["accession_num"] == doc.accession_num
assert fields_list[1]["order"] == "2"
assert fields_list[1]["type"] == "signature"
assert fields_list[1]["index"] == "signature2"
assert (
fields_list[1]["signature_name"] ==
"/s/ Ori Solomon, Attorney in fact for Redmont VAXN Capital Holdings, LLC"
)
assert fields_list[1]["signature_date"] == "2017-10-17"
def test_extract_footnotes_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields_list = doc.footnotes
assert len(fields_list) == 3
assert len(fields_list[0]) == 6
assert fields_list[0]["filename"] == test_form4.name
assert fields_list[0]["accession_num"] == doc.accession_num
assert fields_list[0]["footnote"] == "F1"
assert fields_list[0]["index"] == "nonDerivTrans1"
assert fields_list[0]["field"] == "transactionCoding"
assert fields_list[0]["text"][:26] == "Redmont VAXN Capital Holdi"
assert fields_list[1]["filename"] == test_form4.name
assert fields_list[1]["accession_num"] == doc.accession_num
assert fields_list[1]["footnote"] == "F2"
assert fields_list[1]["index"] == "nonDerivTrans1"
assert fields_list[1]["field"] == "natureOfOwnership"
assert fields_list[1]["text"][:26] == "Consists of shares of Comm"
assert fields_list[2]["filename"] == test_form4.name
assert fields_list[2]["accession_num"] == doc.accession_num
assert fields_list[2]["footnote"] == "F3"
assert fields_list[2]["index"] == "derivTrans1"
assert fields_list[2]["field"] == "directOrIndirectOwnership"
assert fields_list[2]["text"][:26] == "Held by Philip Hodges."
def test_extract_report_owner_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields_list = doc.report_owners
assert len(fields_list) == 2
assert len(fields_list[0]) == 19
assert fields_list[0]["filename"] == test_form4.name
assert fields_list[0]["accession_num"] == doc.accession_num
assert fields_list[0]["order"] == "1"
assert fields_list[0]["type"] == "reportingOwner"
assert fields_list[0]["index"] == "reportingOwner1"
assert fields_list[0]["rpt_owner_cik"] == "0001705562"
assert fields_list[0]["rpt_owner_name"] == "Hodges Philip"
assert fields_list[0]["rpt_owner_street1"] == "C/O ALTIMMUNE, INC."
assert fields_list[0][
"rpt_owner_street2"] == "19 FIRSTFIELD ROAD, SUITE 200"
assert fields_list[0]["rpt_owner_city"] == "GAITHERSBURG"
assert fields_list[0]["rpt_owner_state"] == "MD"
assert fields_list[0]["rpt_owner_zip_code"] == "20878"
assert fields_list[0]["rpt_owner_state_descr"] is None
assert fields_list[0]["is_director"] == "1"
assert fields_list[0]["is_officer"] == "0"
assert fields_list[0]["is_ten_percent_owner"] == "0"
assert fields_list[0]["is_other"] == "0"
assert fields_list[0]["officer_title"] is None
assert fields_list[0]["other_text"] is None
assert len(fields_list[1]) == 19
assert fields_list[1]["filename"] == test_form4.name
assert fields_list[1]["accession_num"] == doc.accession_num
assert fields_list[1]["order"] == "2"
assert fields_list[1]["type"] == "reportingOwner"
assert fields_list[1]["index"] == "reportingOwner2"
assert fields_list[1]["rpt_owner_cik"] == "0001705638"
assert fields_list[1][
"rpt_owner_name"] == "Redmont VAXN Capital Holdings, LLC"
assert fields_list[1]["rpt_owner_street1"] == "C/O ALTIMMUNE, INC."
assert fields_list[1][
"rpt_owner_street2"] == "19 FIRSTFIELD ROAD, SUITE 200"
assert fields_list[1]["rpt_owner_city"] == "GAITHERSBURG"
assert fields_list[1]["rpt_owner_state"] == "MD"
assert fields_list[1]["rpt_owner_zip_code"] == "20878"
assert fields_list[1]["rpt_owner_state_descr"] is None
assert fields_list[1]["is_director"] == "1"
assert fields_list[1]["is_officer"] == "0"
assert fields_list[1]["is_ten_percent_owner"] == "0"
assert fields_list[1]["is_other"] == "0"
assert fields_list[1]["officer_title"] is None
assert fields_list[1]["other_text"] is None
def test_extract_derivative_trans_form4_collection(test_form4_collection):
"""
Validate Form4 extraction code against a random sample of documents
:param test_form4_collection:
:return:
"""
for file in test_form4_collection.glob("*.txt"):
doc = Form4(file)
assert doc.filename == file.name
fields_list = doc.derivatives
trans_fields_list = [
f for f in fields_list if f["type"] == "derivTrans"
]
for idx, fields in enumerate(trans_fields_list):
assert (len(fields)) == 26
assert fields["filename"] == file.name
assert fields["accession_num"] == doc.accession_num
assert fields["order"] == f"{idx+1}"
assert fields["type"] == "derivTrans"
assert fields["index"] == f"derivTrans{idx+1}"
assert validate(file, fields["accession_num"], r"[\d-]+")
assert validate(file, fields["security_title"], r".+")
assert validate(file, fields["direct_or_indirect_ownership"],
r"[DI]")
assert validate(file, fields["transaction_date"],
r"(\d\d\d\d-\d\d-\d\d)?")
assert validate(file, fields["transaction_acquired_disposed_code"],
r"[AD]")
assert validate(file, fields["transaction_price_per_share"],
r"[\d+\.]*")
assert validate(file, fields["transaction_shares"], r"[\d+\.]+")
assert validate(file, fields["equity_swap_involved"], r"[10]")
assert validate(file, fields["transaction_form_type"], r"4")
assert validate(file, fields["shares_owned_following_transaction"],
r"[\d\.]+")
assert validate(file, fields["transaction_code"], r"[ACMPS]")
holdings_fields_list = [
f for f in fields_list if f["type"] == "derivHolding"
]
for idx, fields in enumerate(holdings_fields_list):
assert (len(fields)) == 26
assert fields["filename"] == file.name
assert fields["accession_num"] == doc.accession_num
assert fields["order"] == f"{idx+1}"
assert fields["type"] == "derivHolding"
assert fields["index"] == f"derivHolding{idx+1}"
assert validate(file, fields["accession_num"], r"[\d-]+")
assert validate(file, fields["security_title"], r".+")
assert validate(file, fields["direct_or_indirect_ownership"],
r"[DI]")
def create_doc(file: Path) -> Document:
xmlpath = Document.xml_document_fields["document_type"]
regex = re.compile(f"<{xmlpath}>(.+)</{xmlpath}>")
form_type = regex.findall(file.read_text())[0]
if form_type == "3":
return Form3(file)
elif form_type == "4":
return Form4(file)
elif form_type == "5":
return Form5(file)
else:
typer.secho(f"WARNING: {form_type} not a supported form type",
fg=typer.colors.RED)
return None
def test_extract_derivative_trans_form4(test_form4):
"""
Validate Form4 extraction code against a single detailed example
:param test_form4:
:return:
"""
doc = Form4(test_form4)
assert doc.accession_num == "0001012975-17-000759"
assert doc.filename == test_form4.name
fields_list = doc.derivatives
assert len(fields_list) == 1
assert len(fields_list[0]) == 26
assert fields_list[0]["filename"] == test_form4.name
assert fields_list[0]["accession_num"] == doc.accession_num
assert fields_list[0]["order"] == "1"
assert fields_list[0]["type"] == "derivTrans"
assert fields_list[0]["index"] == "derivTrans1"
assert fields_list[0]["security_title"] == "Stock Options (option to buy)"
assert fields_list[0]["transaction_date"] == "2017-10-13"
assert fields_list[0]["deemed_execution_date"] is None
assert fields_list[0]["transaction_acquired_disposed_code"] == "A"
assert fields_list[0]["transaction_timeliness"] is None
assert fields_list[0]["transaction_price_per_share"] == "0"
assert fields_list[0]["transaction_shares"] == "20000"
assert fields_list[0]["direct_or_indirect_ownership"] == "D"
assert fields_list[0]["equity_swap_involved"] == "0"
assert fields_list[0]["nature_of_ownership"] == ""
assert fields_list[0]["transaction_form_type"] == "4"
assert fields_list[0]["shares_owned_following_transaction"] == "20000"
assert fields_list[0]["value_owned_following_transaction"] is None
assert fields_list[0]["transaction_code"] == "A"
assert fields_list[0]["conversion_or_exercise_price"] == "2.50"
assert fields_list[0]["transaction_total_value"] is None
assert fields_list[0]["exercise_date"] == "2018-04-30"
assert fields_list[0]["expiration_date"] == "2027-10-13"
assert (
fields_list[0]["underlying_security_title"] == "Common Stock, par value $0.0001"
)
assert fields_list[0]["underlying_security_shares"] == "20000"
assert fields_list[0]["underlying_security_value"] is None
def create_doc(file: Path) -> Union[None, Document]:
"""
A factory function returns a Document object with the right subtype.
:param file: The file object that is the source of the Document
:return: A Document object
"""
xmlpath = Document.xml_document_fields["document_type"]
regex = re.compile(f"<{xmlpath}>(.+)</{xmlpath}>")
form_type = regex.findall(file.read_text())[0]
if form_type == "3":
return Form3(file)
elif form_type == "4":
return Form4(file)
elif form_type == "5":
return Form5(file)
else:
typer.secho(
f"WARNING: {form_type} not a supported form type", fg=typer.colors.RED
)
return None
def test_extract_signature_form4_collection(test_form4_collection,
doc_num: int):
"""
Validate Form4 extraction code against a random sample of documents
:param test_form4_collection:
:return:
"""
file = list(test_form4_collection.glob("*.txt"))[doc_num]
doc = Form4(file)
assert doc.filename == file.name
fields_list = doc.signatures
assert len(fields_list) > 0
for idx, fields in enumerate(fields_list):
assert (len(fields)) == 7
assert fields["filename"] == file.name
assert fields["accession_num"] == doc.accession_num
assert fields["order"] == f"{idx+1}"
assert fields["type"] == "signature"
assert fields["index"] == f"signature{idx+1}"
assert validate(file, fields["signature_name"], r".+")
assert validate(file, fields["signature_date"], r"\d\d\d\d-\d\d-\d\d")
def test_extract_many_footnotes_example(test_form4_collection):
file = test_form4_collection / "1363364_2_0001638599-20-000500.txt"
assert file.exists()
doc = Form4(file)
footnotes = doc.footnotes
assert len(footnotes) == 39