Fund Ticker, Series and Share Class Crosswalk

A dated crosswalk between a fund's ticker, its series, its share class and the registrant that files for it, read from the header of every fund prospectus filing. The join key from a market ticker back to a fund's SEC record.

edgar_fund_series_classes - the dataset name to pass to the Obscura API.

What one row means

One **dated assertion that a fund series has a share class**, read out of the `<SERIES-AND-CLASSES-CONTRACTS-DATA>` block that EDGAR writes into the SGML header of every `497`, `497K` and `485BPOS` prospectus filing. This is the **ticker ↔ series ↔ class ↔ registrant crosswalk** that makes `edgar_nport_filings`, `edgar_nport_holdings` and `edgar_fund_risk_return` joinable to a market symbol. SEC identifies a fund by `S000nnnnnn` and a share class by `C000nnnnnn`; markets identify it by ticker; SEC publishes no mapping between them as a dataset. It does, however, state one - with a date - on every prospectus its funds file. # It is deliberately NOT a slowly-changing dimension Each filing is an OBSERVATION. There is no `valid_from`/`valid_to`, no dedupe and no "current" flag: the history IS the set of observations, and an as-of view is `DISTINCT ON (series_id, class_id) … ORDER BY available_date DESC`. Collapsing observations into intervals in the collector would bake in a merge policy that cannot be undone - the mistake recorded against `domain_subdomains`, where an event-compressed row makes a gap indistinguishable from no change. # A missing ticker is INFORMATION, not a gap `<CLASS-CONTRACT-TICKER-SYMBOL>` is optional and its absence is meaningful: insurance separate-account classes are not exchange-traded, and several ETF trusts state no symbol either. MEASURED over 324 filings on six dissemination days spanning 2023-09 to 2024-07: **4,654 of 5,210 class rows (89.3 %) carry a ticker**, and 108 of the 324 filings state classes with no ticker at all (Sprott's 11 ETF classes on `0001999371-24-005670` among them). NULL is the honest record of that; a lookup that filled it in would be fabrication. See `docs/datasets/edgar_fund_series_classes.md`.

One row per One row per (filing, series, share class) assertion, keyed by (accession, series_id, class_id). The row says 'on this dissemination day, this registrant stated that series S000061500 has class C000199169, named Class A, trading as NGJAX'. The key is the ACCESSION and not the archive path because EDGAR indexes one filing under one path PER associated CIK - measured rare but real on this family, 1 accession in ~700 fans out to 2-8 paths (master.20240228.idx: 837 single-path accessions, one two-path, one eight-path) - so keying on the path would multiply those filings' rows. A series with NO share classes still produces a row, with class_id = '' (the empty-string sentinel, because a NULL cannot sit in a composite primary key); suppressing it would lose the series' existence..

Point-in-time availability

Every Obscura dataset carries available_date: the calendar day the publisher made the row available, day-of, with no session rounding. It is the one column a backtest filters on, and it means the same thing on every dataset in the catalog.

For edgar_fund_series_classes: filing_join: available_date is the EDGAR DISSEMINATION day, taken from the bronze object's own day partition, never from the header's FILED AS OF DATE (SEC back-dates it on 4.88% of filings). There is no separate event date and no occurred_on - the assertion IS the filing, so inventing a moment at which a class 'became' tickered would be fabrication. Evidence class B, CONFIRMED: all sampled accessions carry <ACCEPTANCE-DATETIME> on the same calendar day as their FILED AS OF DATE and their dissemination stamp (0001193125-24-131423 -> 20240506 in all three places), and fund supplements are filed during the business day.

Refresh cadence

Obscura refreshes edgar_fund_series_classes every 6 hours - the most frequent scheduled job that re-collects or re-exports it. This is Obscura's own pipeline cadence, not the upstream publisher's release schedule; when a row became public is recorded per row in available_date.

Schema - 17 columns

The full public column list for edgar_fund_series_classes, with the meaning of every field. The same schema is served unauthenticated at https://api.obscura.trade/v1/catalog/edgar_fund_series_classes.

Access edgar_fund_series_classes

Two delivery paths, one identifier. Both require an Obscura account and an active subscription; the catalog entry and the schema above are public.

import obscura

client = obscura.Client("obs_live_…")

df = client.query(
    dataset="edgar_fund_series_classes",
    symbols=["NVDA", "AAPL"],
    start="2024-01-01",
)

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