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Report filed by institutional managers detailing holdings or indicating that there are no holdings reported.
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How to fill out form 13f-nt
How to fill out Form 13F-NT
01
Obtain the Form 13F-NT from the SEC's website or your investment firm's forms repository.
02
Enter the name of the institutional investment manager at the top of the form.
03
Specify the SEC file number for the manager.
04
Indicate the calendar year and the period for which you are reporting.
05
Complete the required identification information, including the address and contact details.
06
Review the definition of Section 13(f) securities and confirm that you have none to report.
07
Sign and date the form in the designated area.
08
Submit the form electronically through the SEC’s EDGAR filing system within the deadline.
Who needs Form 13F-NT?
01
Institutional investment managers who manage over $100 million in Section 13(f) securities, but do not hold any securities to report for the reporting period.
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People Also Ask about
What is the purpose of a 13F?
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.
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.
Who is eligible for 13F?
You are an institutional investment manager, which the SEC defines as any person or entity that invests in, or buys and sells, securities for its own account or for the accounts of others. You exercise investment discretion over $100 million or more in 13F securities as of the end of any month in a calendar year.
How often does Form 13F need to be filed?
The SEC's Form 13F must be filed quarterly by institutional investment managers with at least $100 million in assets under management.
What does 13F disclose?
The Form 13F report requires disclosure of the name of the institutional investment manager that files the report, and, with respect to each section 13(f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which
What does 13F stand for?
The securities that institutional investment managers must report on Form 13F are “section 13(f) securities.” Section 13(f) securities generally include equity securities that trade on an exchange (including the Nasdaq National Market System), certain equity options and warrants, shares of closed-end investment
What is Form 13F information table?
The Securities and Exchange Commission's (SEC) Form 13F is a quarterly report that is required to be filed by all institutional investment managers with at least $100 million in assets under management. It discloses their equity holdings and can provide insights into what the smart money is doing in the market.
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.
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What is Form 13F-NT?
Form 13F-NT is a filing with the U.S. Securities and Exchange Commission (SEC) that allows institutional investment managers to report their investment holdings on a quarterly basis, specifically indicating that they hold qualifying securities but do not wish to disclose specific details.
Who is required to file Form 13F-NT?
Institutional investment managers who have investment discretion over $100 million or more in qualifying securities are required to file Form 13F-NT.
How to fill out Form 13F-NT?
To fill out Form 13F-NT, institutional investment managers must provide their name, address, and SEC file number, indicate they are submitting Form 13F-NT instead of the full Form 13F, and include a list of their qualifying securities without the detailed reporting required on Form 13F.
What is the purpose of Form 13F-NT?
The purpose of Form 13F-NT is to enable institutional investment managers to file a simplified version of the Form 13F when they hold qualifying securities but wish to avoid disclosing specific individual security details.
What information must be reported on Form 13F-NT?
Form 13F-NT must report the institutional investment manager's identifying information and disclose that they are filing the NT version in lieu of the standard Form 13F, along with any required certifications.
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