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This document is a quarterly report filed by institutional investment managers to disclose their equity holdings.
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How to fill out form 13f-hr
How to fill out FORM 13F-HR
01
Obtain a copy of the FORM 13F-HR from the SEC's website or relevant financial authority.
02
Fill in the name and address of the institutional investment manager in the designated fields.
03
Provide the Central Index Key (CIK) number assigned by the SEC.
04
Complete the period for which the report is being filed, typically the end of any given quarter.
05
List all Section 13(f) securities under the 'Securities Information' section, including the name, title, and CUSIP number of each security.
06
Indicate the number of shares owned and the fair market value of each security.
07
Include any other required information specific to your firm or circumstances.
08
Review the completed form for accuracy and completeness.
09
Submit the FORM 13F-HR electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
Who needs FORM 13F-HR?
01
Institutional investment managers who manage over $100 million in Section 13(f) securities are required to file FORM 13F-HR.
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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) to disclose their holdings of publicly traded securities.
Who is required to file FORM 13F-HR?
Institutional investment managers with discretionary authority over $100 million or more in Section 13(f) securities are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
To fill out FORM 13F-HR, institutions must disclose their securities holdings, including the names of the securities, their values, and the number of shares owned, by following the SEC's guidelines and using the prescribed format.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide transparency in the financial markets by allowing the SEC and the public to see the investment activities and holdings of large institutional investors.
What information must be reported on FORM 13F-HR?
FORM 13F-HR must report the names of the securities held, the number of shares owned, the market value of those securities, and any other relevant details required by the SEC.
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