What is a 13F file?
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.
How do I download 13F files?
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.
When must 13F be filed?
3. Filing of Form 13F. A Manager must file a Form 13F report with the Commission within 45 days after the end of each calendar year and each of the first three calendar quarters of each calendar year.
What is the difference between 13G and 13F?
Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements. Schedule 13G can be filed in lieu of the SEC Schedule 13D form as long as the filer meets one of several exemptions.
Who needs to file a 13F?
Who must file Form 13F? Institutional investment managers with discretion over $100 million or more in 13(f) Securities must file Form 13F. The $100 million threshold applies in aggregate across all accounts over which the investment manager has discretion.
What triggers a 13F filing?
The requirement to file Form 13F is triggered if the investment manager exceeded $100 million or more on the last trading day of any month during that calendar year. As such, investment managers should have reporting to identify if they are meeting or exceeding these thresholds.
Is 13G good for stock?
13D and 13G filings, created by the Securities and Exchange Commission (SEC) Act of 1934, are intended to alert investors that big traders are acquiring a stock. By acquiring 5% or more of a stock, a 13G investor may be signaling that a stock is a good value that won’t be cheap for long.
Do you have to report options on 13F?
Certain convertible debt securities, equity options, and warrants are on the Official List and may be reported. Securities that are not on the Official List should not be reported on Form 13F. See, e.g., Rule 13f-1(c) under the Securities Exchange Act.
What is 13F army?
Forward observers in the U.S. military are artillery observers who carry the Military Occupational Specialty designator of 13F in the United States Army and 0861 in the United States Marine Corps. They are officially called Joint Fire Support Specialists in the U.S. Army and Fire Support Men in the U.S. Marine Corps.
What does it mean to file Form 13F?
Q: What is Form 13F? A: Form 13F is the reporting form filed by institutional investment managers pursuant to Section 13 (f) of the Securities Exchange Act of 1934.
Where to find Form 13F in Edgar submission?
A: For a new filer, the best way is to include a notification tag in your EDGAR submission header. If you do so, then the Form 13F file number will be on your EDGAR acceptance message.
When did the SEC stop using Form 13F?
On May 20, 2013, the text-based ASCII format for 13F filings was discontinued. 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.
Who is an institutional investment manager on Form 13F?
Such person meets the definition of an institutional investment manager because a “person” for purposes of Form 13F reporting is “a natural person, company, government, or political subdivision, agency, or instrumentality of a government.”