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This document is an initial quarterly report filed by institutional managers, providing information about holdings to the SEC.
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How to fill out form 13f-nt
How to fill out FORM 13F-NT
01
Obtain a copy of FORM 13F-NT from the SEC website or relevant regulatory body.
02
Fill in your name, address, and other identifying information in the designated fields.
03
List all the equity securities you own that are subject to each investment manager's discretion.
04
Indicate the number of shares held for each security and the total market value.
05
Confirm the report date and include your signature at the end of the document.
06
Review the form for accuracy and completeness before submission.
07
Submit FORM 13F-NT to the SEC electronically or by mail, depending on the requirements.
Who needs FORM 13F-NT?
01
Investment managers who manage over $100 million in qualifying securities are required to file FORM 13F-NT.
02
Institutional investment managers who need to disclose their equity holdings to the SEC for compliance purposes.
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Who is required to file a Form 13F?
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.
What is Form 13F nt?
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.
What does a 13F tell you?
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.
How often do 13F filings come out?
The Form 13F filing deadline is 45 days after the end of each quarter.
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What is FORM 13F-NT?
FORM 13F-NT is a regulatory filing required by the U.S. Securities and Exchange Commission (SEC) for institutional investment managers to disclose their holdings in publicly traded securities. It is a variant of FORM 13F that specifically allows managers to report their non-equity securities.
Who is required to file FORM 13F-NT?
Institutional investment managers who have investment discretion over $100 million or more in 13(f) securities are required to file FORM 13F-NT.
How to fill out FORM 13F-NT?
To fill out FORM 13F-NT, investment managers must provide details regarding their non-equity holdings, including the name of the issuer, class of securities, Central Index Key (CIK) number, and the number of shares held, among other required information. It's important to follow the SEC's guidelines for the format and submission.
What is the purpose of FORM 13F-NT?
The purpose of FORM 13F-NT is to enhance transparency in financial markets by allowing regulators and the public to see the holdings of institutional investors, thereby fostering accountability and enabling better understanding of market dynamics.
What information must be reported on FORM 13F-NT?
FORM 13F-NT must report information such as the institutional investment manager’s name, address, the securities held, their respective values, and the date of the filing. Additionally, it requires information about any non-equity securities that the manager has under investment discretion.
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