497K1 fund profile filings (historic)
497K1 filings from 1998 to 2008: fund profiles filed under Rule 497(k) when Rule 498 allowed funds to use a short profile document.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22497K1%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"497K1"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 497K1?
In 1998 the SEC adopted Rule 498, which let mutual funds offer a short "profile" summarizing key information from the prospectus. Profiles were filed under Rule 497(k), and EDGAR used several submission types for them, including 497K1.
The profile was replaced in 2009 by the summary prospectus under amended Rule 498, and today's summary prospectuses use the 497K type. Filings under 497K1 stop in 2008.
Open-end funds that used a fund profile.
When the profile was first used or revised. No filings under this type after 2008.
Filings per year
Every 497K1 filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Fund profile | Objectives, strategies, risks, fees and performance in short form. |
| Fee table | Shareholder fees and annual operating expenses. |
Get 497K1 data with SecFeed
Search the filings with formType:"497K1", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
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Latest 497K1 filings
| Company | Form | Filed | |
|---|---|---|---|
| FIDELITY UNION STREET TRUST II | 497K1 | 2008-10-16 | EDGAR ↗ |
| FIDELITY PHILLIPS STREET TRUST | 497K1 | 2008-10-16 | EDGAR ↗ |
| PRINCIPAL INVESTORS FUND INC | 497K1 | 2008-05-30 | EDGAR ↗ |
| FIDELITY UNION STREET TRUST II | 497K1 | 2008-04-16 | EDGAR ↗ |
| FIDELITY PHILLIPS STREET TRUST | 497K1 | 2008-04-16 | EDGAR ↗ |
| FIDELITY UNION STREET TRUST II | 497K1 | 2008-01-16 | EDGAR ↗ |
| FIDELITY PHILLIPS STREET TRUST | 497K1 | 2008-01-16 | EDGAR ↗ |
| PRINCIPAL INVESTORS FUND INC | 497K1 | 2007-10-30 | EDGAR ↗ |
Use cases
- Historical fund disclosure research
- Compare profile documents with later summary prospectuses
Related forms
Form 497K summary prospectuses of mutual funds and ETFs since 2009: objective, fee table, strategies, risks, performance and managers.
497K2Profile prospectus (historic, K2)497K2 filings from 1998 to 2008: another submission type for fund profiles filed under Rule 497(k) before the summary prospectus.
497Fund prospectus updateRule 497 definitive prospectuses, SAIs and supplements of mutual funds, ETFs and closed-end funds, the documents actually sent to investors.
FAQ
What was a fund profile?
A short summary document under the 1998 version of Rule 498, replaced by the summary prospectus in 2009.
Where are summary prospectuses filed now?
Under the 497K submission type.
Every 497K1 filing, one API call away
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