Where can I find 13F filings?
You can search for and retrieve Form 13F filings using the SEC’s EDGAR database. To find the filings of a particular money manager, enter the money manager’s name in the Company Name field. To see all recently filed 13Fs, use the “Latest Filings” search function and enter “13F” in the Form Type box.
How do I file Form 13F?
Form 13F must be submitted electronically in “XML” format via the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. For an initial filing through EDGAR, the investment manager will need to complete a Form ID to obtain a central index key (CIK code) and EDGAR access codes.
How often is a 13F filed?
quarterly
The Securities and Exchange Commission’s (SEC) Form 13F is a quarterly report that is required to be filed by all institutional investment managers with at least $100 million in assets under management.
What is a 13F NT?
13F-NT is the 13F Notice and is used when none of your applicable securities are on the report and are on someone else’s report.
What do 13F filings show?
The Securities and Exchange Commission’s (SEC) Form 13F is a quarterly report that is required to be filed by all institutional investment managers with at least $100 million in assets under management. It discloses their equity holdings and can provide insights into what the smart money is doing in the market.
What is a 13F filer?
Form 13F is a quarterly report filed, per United States Securities and Exchange Commission regulations, by “institutional investment managers” with control over $100M in assets to the SEC, listing all equity assets under management.
What is Schedule 13F?
What do you need to know about Form 13F?
The Form 13F report requires disclosure of the name of the institutional investment manager that files the report, and, with respect to each section 13 (f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which the report is filed,
Are broker-dealers exempt from filing Form 13F?
Broker-dealers (including those that do not manage advisory accounts, but that trade their own account and/or act as a market maker) are required to file. Broker-dealers are not exempt from filing Form 13F. Q: What is “investment discretion”?
How do I amend a public Form 13F?
To amend a public filing, you must number the amendment on the Cover Page, and specify that it adds entries for new holdings to your public Form 13F. You must include the following legend at the top of your Form 13F Cover Page:
How do I file a Form 13F with Edgar?
A filer now must either (1) use the online form available on the EDGAR Filing Website and construct the Information Table according to the EDGAR XML Technical Specification, or (2) construct the entire Form 13F filing according to the EDGAR XML Technical Specification.
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