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This document is a notice report filed by institutional managers to the SEC indicating their holdings as of the end of the reporting period, as well as providing necessary information about the filer
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How to fill out form 13f-nt

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How to fill out FORM 13F-NT

01
Download the FORM 13F-NT from the SEC's website or access a template.
02
Enter your legal name and address in the designated fields.
03
List any other applicable information requested, such as contact details.
04
Indicate the reporting period and end date.
05
Provide a certification statement affirming the accuracy of the information.
06
Sign and date the form.
07
If applicable, submit through the EDGAR system or mail to the SEC.

Who needs FORM 13F-NT?

01
Investment managers who manage over $100 million in assets and have a reportable securities portfolio.
02
Institutional investment managers required to inform the SEC of their holdings on a quarterly basis.
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People Also Ask about

Q: Who must file Form 13F? A: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F.
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.
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. Academic researchers make these reports freely available as structured datasets.
The Form 13F filing deadline is 45 days after the end of each quarter.

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FORM 13F-NT is a regulatory filing required by the U.S. Securities and Exchange Commission (SEC) for institutional investment managers that are exempt from filing Form 13F under certain circumstances, primarily for their non-SEC registered investments.
Institutional investment managers with assets under management of over $100 million who are exempt from the normal reporting requirements of Form 13F must file Form 13F-NT.
To fill out FORM 13F-NT, institutional managers need to provide information including their name, address, and information regarding their exempt securities. Accurate detail is required to comply with SEC regulations.
The purpose of FORM 13F-NT is to allow institutional investment managers to indicate their exemption status from the full reporting requirements of Form 13F while still providing a level of transparency in their investment holdings.
The information reported on FORM 13F-NT includes the names of the exempt securities, the total value held, and the identification of the institutional investment manager.
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SEC Form 13F institutional managers reporting period holdings report James McLaren investment manager New York financial regulation securities

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