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This document is an initial quarterly notice report filed by institutional managers, specifically regarding holdings and investment discretion.
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How to fill out form 13f-nt

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How to fill out FORM 13F-NT

01
Obtain the latest version of FORM 13F-NT from the SEC website.
02
Review the instructions provided with the form for guidance on filling it out.
03
Fill in the identifying information, such as the name of the reporting manager and their address.
04
Indicate the reporting period for which the form is being filed.
05
Input the values for the securities held and their respective reporting status.
06
Ensure that all necessary signatures are included, including that of the reporting manager.
07
Double-check all entries for accuracy and completeness.
08
Submit the completed form through the SEC's EDGAR system.

Who needs FORM 13F-NT?

01
Investment advisors and institutional investment managers who manage over $100 million in securities.
02
Hedge funds and other investment firms that are required to report their holdings and changes in ownership.
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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 by institutional investment managers that report their holdings and investments to the Securities and Exchange Commission (SEC). It specifically relates to managers who have not made any new investments in securities that are required to be reported under the Form 13F.
Institutional investment managers that have investment discretion over $100 million or more in securities are required to file FORM 13F-NT if they have no new reportable securities.
To fill out FORM 13F-NT, the filer must provide basic identifying information, including the name of the institutional investment manager, their address, and the period covered by the report. The form also requires a certification that there are no new assets to report under the traditional FORM 13F.
The purpose of FORM 13F-NT is to keep the SEC informed about institutional investment managers that are not adding to their reportable securities, ensuring transparency and consistent monitoring of investment activities.
FORM 13F-NT requires reporting of the investment manager's name, address, the date of the report, a statement indicating no new reportable securities, and any other information as required by the SEC.
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Relevant keywords

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