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GENERAL INSTRUCTIONS. 1. Rule as to Use of Form 13F. Institutional investment managers (“Managers”) must use Form 13F for reports to the Commission required by Section 13(f) of the Securities Exchange Act of 1934 [15 U.S.C. 78m(f)] (“Exchange Act”) and rule 13f-1 [17 CFR 240.13f-1] thereunder.
A: See Form 13F Instructions for Confidential Treatment Requests, Form 13F [Adobe Acrobat ® (PDF) file]. You can find the procedural requirements for confidential treatment applications in Rule 24b-2(b) and (i) under the Securities Exchange Act.
Data contained in documents filed after 5:30PM Eastern on the last business day of a quarter will be included in the subsequent quarterly posting. 13F Data Sets (PDF) provides documentation of scope, organization, file formats and table definitions. Find out more about Form 13F.
SEC Form 13F is required to be filed by institutional managers who manage $100 million or more in assets. The goal is to bring transparency into the financial holdings of such large managers.
Institutional investment managers can include investment advisers, banks, insurance companies, broker-dealers, pension funds, and corporations. Form 13F is required to be filed within 45 days of the end of a calendar quarter.
Form 13F filings are quarterly reports that institutional investment managers with over $100 million in qualifying assets under management are required to file with the US Securities and...
Form 13F provides position-level disclosure of all institutional investment managers with more than $100m in assets under management with relevant long US holdings. All US-listed equity securities (including ETFs) in the manager’s portfolio are included and detailed according to the number of shares, the ticker, the issuer name, etc.
SEC Form 13F is required for certain institutional investment managers. Learn what Form 13F covers and how to use it as an investor.
The FORM 13F data sets are extracted from EDGAR FORM 13F XML filings in a flat file format to assist users in constructing the data for analysis. The data will be published quarterly.
Content of Form 13F. Form 13F discloses the manager's holdings of Section 13(f) securities as of the quarter-end preceding the report. Form 13F consists of a cover page, a summary page and an eight-column Information Table.