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This document is a quarterly report filed by institutional managers to disclose their holdings in various securities as of the end of the reporting period.
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How to fill out form 13f-hr
How to fill out FORM 13F-HR
01
Obtain FORM 13F-HR from the SEC website or your regulatory authority.
02
Fill in the name of the reporting manager in the appropriate section.
03
Include the address of the reporting manager, ensuring it's accurate.
04
List all 13(f) securities in the portfolio, including their respective values.
05
Provide the number of shares held for each security in the portfolio.
06
Complete the submission date and sign the form.
07
Submit the completed FORM 13F-HR electronically via EDGAR or the designated method by the deadline.
Who needs FORM 13F-HR?
01
Investment managers with discretion over $100 million in 13(f) securities.
02
Institutional investment managers required to report holdings to the SEC.
03
Firms seeking to comply with SEC regulations regarding large institutional holdings.
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People Also Ask about
What is the 13F HR form?
13F-HR is the 13F Holdings Report and is used when all of your applicable securities are on the report. The 13F-HR can also be the 13F Combination Report which is used when some of your applicable securities are on the report and some are on someone else's report.
What is the rule 13F?
Rule 13f-1(a) provides that every Manager which exercises investment discretion with respect to accounts holding Section 13(f) securities, as defined in rule 13f-1(c), having an aggregate fair market value on the last trading day of any month of any calendar year of at least $100,000,000 shall file a report on Form 13F
What is 13F ownership?
Generally speaking, Section 13(f) securities include those traded on an exchange like the Nasdaq, as well as “equity options and warrants, shares of closed-end investment companies, and certain convertible debt securities.” However, mutual funds are not considered Section 13(f) securities.
Are Form 13F filings public?
The Official List is published quarterly and is available for free on the SEC's website. It is not available in paper copy format or on computer disk. You can search for and retrieve Form 13F filings using the SEC's EDGAR database.
Do mutual funds have to file 13F?
The shares of open-end investment companies (i.e., mutual funds) are not Section 13(f) securities. Section 13(f) securities can be found on the Official List of Section 13(f) Securities. The Official List is published quarterly and is available for free on the SEC's website.
Do private funds have to file 13F?
Subject to certain exceptions, if your funds collectively owned in excess of $100 million of Section 13(f) securities as of the last day of any month during the 2024 calendar year, you're obligated to file a Form 13F for the quarter ended December 31, 2024, which filing will be due February 14, 2025.
Do private funds have to register?
Private funds are not required to be registered or regulated as investment companies under the federal securities laws. A private fund cannot publicly offer its securities.
Who is not required to file 13F?
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. For example, shares of open-end investment companies, i.e., mutual funds, are not included on the list and, therefore, should not be reported on Form 13F.
Is Form 13F public?
The Official List is published quarterly and is available for free on the SEC's website. It is not available in paper copy format or on computer disk. You can search for and retrieve Form 13F filings using the SEC's EDGAR database.
Do private funds have to file 13F?
Subject to certain exceptions, if your funds collectively owned in excess of $100 million of Section 13(f) securities as of the last day of any month during the 2024 calendar year, you're obligated to file a Form 13F for the quarter ended December 31, 2024, which filing will be due February 14, 2025.
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What is FORM 13F-HR?
FORM 13F-HR is a quarterly report that institutional investment managers must file with the U.S. Securities and Exchange Commission (SEC), disclosing their equity holdings.
Who is required to file FORM 13F-HR?
Institutional investment managers with investment discretion over $100 million or more in securities registered under Section 13(f) of the Securities Exchange Act of 1934 are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
To fill out FORM 13F-HR, managers must provide detailed information about their equity holdings, including the names of the securities, the number of shares held, the total value of their holdings, and various identifying details as required by the SEC.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide transparency in the public markets by disclosing the investment activities of large institutional investors, allowing regulators and the public to better understand investment trends and ownership.
What information must be reported on FORM 13F-HR?
FORM 13F-HR must report details such as the name of the issuers of the securities, the class of the securities, the number of shares or principal amount, and the value of the holdings as of the end of the reporting period.
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