docs(workflow): add SEC Filing Roadmap section#50
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Maps each phase to which SEC forms (10-K / 10-Q / 8-K / Form 4 / DEF
14A / 13F / 20-F / etc.) feed the ranking layer. Answers the question
"what filings does the system read?" with a single canonical table.
Phase coverage:
- Phase 2-3 (v1.0): 10-K + 10-Q only (+ 8-K Items 4.01/4.02 deferred)
- Phase 4: same forms, 8-K Tier-2 defenses re-enabled
- Phase 5: +Form 4 (insider signal — Cohen-Malloy-Pomorski 2012)
+13F-HR (smart-money / sentiment pillar)
+DEF 14A (governance pillar)
+8-K other items (event-driven sentiment)
- Phase 6: +earnings call transcripts (external API)
- Phase 7: no new SEC forms
- Phase 8: +20-F + 6-K (universe expansion to ADRs / foreign
private issuers)
Out of scope: S-1 / S-3 (IPO docs) and N-CSR / N-Q (mutual fund reports).
Documents the WHY too: without this map, a Phase 5 PR could naively
pull Form 4 without realizing the ingest layer needs significant work
(different XBRL taxonomy + filing cadence). The roadmap also clarifies
what's intentionally NOT in scope so spec drift doesn't accidentally
drag them in.
https://claude.ai/code/session_015649aRyi2bvciQYZVNACd2
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dackclup
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May 14, 2026
Lockstep update of the three tracking docs after PR 3e.4 (v1.0 tag) landed via the phase-status-bump skill flow. PHASE_STATUS.md: - Phase 3 row → ✅ DONE 2026-05-14 - "Current focus" → v1.0.0 SHIPPED, Phase 4a (workflow cache improvements) next per v1-to-v1-1-migration/PLAN.md - Phase 3e placeholder (lines 122-128) replaced with completion block covering 9 PRs: #43 Beneish, #45 Dechow, #46 Honest Limitations, #47-49+51+56 audit-#6 deep-clean (cache key v2 bump), #50 SEC Filing Roadmap, #52/#54 UX trio planning, #55 workflow rebase-then-push, #56 P1 audit backfill (migration + schema-versioning + backtest-infra) - Defense scorecard updated to v1.0.0 final: 4 active vetoes (1 deferred behind feature flag) + 5 guards + Tier-2 going_concern + Tier-3 Beneish/Dechow + 8 valuation warnings - Phase 3d production stats: filled in DRAFT placeholders with final numbers (498/502 fair-price, 100% Tier-2 coverage, 646 tests) - Phase 3e production stats: new section with v1.0 verification (commit b5bc65f, run #32, median PE 23.2, 3 data-quality edge cases, 31.9%/31.3% Beneish/Dechow coverage) - Phase 3d + 3e acceptance checklists: all items [x] SKILL.md Table 2 (schema version history): - Stub row for `1.0.0` (forward-looking) replaced with actual v1.0 ship row: `0.6.0-phase3d @ tag v1.0.0` (data version stays at 0.6.0-phase3d since PR 3e added only additive optional fields — beneish_m_score, dechow_f_score) - Row captures: 3 Tier-3 layer additions + Honest Limitations + audit #6 deep clean + workflow CI hardening + Phase 4 planning + production verification snapshot - The 4th veto `non_reliance_filing` note clarified: implemented but deferred behind `_EIGHT_K_DEFENSES_ENABLED = False` per PR 3e shipping state; re-enable in Phase 4 WORKFLOW.md "Phase 3 / v1.0 Acceptance Criteria": - All 19 items flipped from [ ] to [x] - New "Audit-#6 deep-clean" subsection (added mid-3e) tracks the 8 secondary-layer items completed during the audit cycle - "Ship" subsection records v1.0.0 tag + GitHub Release published + commit b5bc65f / run #32 production verification Invariants verified before commit: - Phase number matches across all three files - Schema version `0.6.0-phase3d` consistent with frontend/public/data/metadata.json::version - Production-verified commit SHA `b5bc65f3` referenced consistently - Active veto count: 4 (with 1 deferred behind feature flag) — matches defense-scorecard against latest production output - No deferred item without a matching PLAN.md in .claude/skills/phase-4/<name>/ or filed issue Per the phase-status-bump skill anti-patterns: no schema version bump in code (compute/output/schemas.py or pyproject.toml) — those happen with the next scoring/shape change PR. This commit only touches the docs that reference the version. Next deliverable: Phase 4a — workflow cache improvements (10-K text + fundamentals_history + prices + universe). Pre-planned in .claude/skills/phase-4/v1-to-v1-1-migration/PLAN.md §"Sequencing". https://claude.ai/code/session_015649aRyi2bvciQYZVNACd2 Co-authored-by: Claude <noreply@anthropic.com>
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dackclup
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May 17, 2026
#99) PHASE_STATUS.md: row 4.5 → "4.5a + 4.5b + 4.5c + 4.5d waves complete" with defense layer 9 → 16. 4.5d ✅ DONE block added (production fire rates accruals_momentum_high 10.0% / loss_avoidance_pattern 0.0% with the universe-mismatch caveat). Phase 4.5 timeline summary table 4.5a-d rows flipped ⚪ → ✅. SKILL.md: Rule 16 active-veto count 5 → 7 (added beneish_manipulation_veto + dechow_manipulation_veto). Schema versions table appended with the 4.5a-d wave row noting zero shape delta (all 9 new flag identifiers are list[str] additions) + reason taxonomy 24 → 34 stable identifiers. WORKFLOW.md: 4.5d task list [ ] → [x] with PR #97, production verification snapshot, design substitution note (m_score_deteriorating → accruals_momentum_high). CLAUDE.md: Phase status section trimmed ~65 → ~12 lines pointing at PHASE_STATUS.md as the canonical tracker. Layout table veto count 5 → 7 and test count 526 → 831 offline. Closed-issue #7 (Sloan Financials over-fire) removed from Gotchas; loss_avoidance_pattern universe mismatch added. Production verified: commit c3b29af / run #50 (workflow 25982432928) / 502 stocks / 831 offline tests / warm-cache 6m24s. Defense layer 14 → 16 (annotates +2 from 4.5d). Active vetoes unchanged at 7. Phase 4.5 follow-up filed at /tmp/issue_drafts/issue_loss_avoidance_universe_mismatch.md (loss_avoidance_pattern zero-fire on S&P 500; Burgstahler-Dichev 1997 cohort thresholds too tight for large-cap universe). https://claude.ai/code/session_015649aRyi2bvciQYZVNACd2 Co-authored-by: Claude <noreply@anthropic.com>
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Summary
Adds a SEC Filing Roadmap section to
WORKFLOW.mdmapping each phase to the SEC forms it uses (10-K, 10-Q, 8-K, Form 4, DEF 14A, 13F, 20-F, etc.).Captures the answer from today's audit session:
Out of scope: S-1/S-3 (IPO docs), N-CSR/N-Q (mutual fund reports).
Why now
User asked "ระบบเราจะมี [20-F / DEF 14A / Form 4 / 13F] ไหม" during the audit cycle. Answer was clear (none in v1.0; Phase 5+ for most; Phase 8 for foreign), but without it in the canonical workflow doc the next contributor could easily write a Phase 5 PR that pulls Form 4 data without realizing the ingest layer needs major work (different XBRL taxonomy + filing cadence).
The roadmap also explicitly lists what's NOT in scope so spec drift doesn't drag in S-1 / N-CSR by accident.
Files changed
WORKFLOW.mdVerification
##heading inside the existing roadmap area)_EIGHT_K_DEFENSES_ENABLED = Falseincompute/scoring/tier2.py:73)docs/RESEARCH_FINDINGS.mdbibliography (Cohen-Malloy-Pomorski 2012)No code changes. No schema changes. Pure docs.
https://claude.ai/code/session_015649aRyi2bvciQYZVNACd2
Generated by Claude Code