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This document serves as a holdings report for institutional investment managers detailing their securities holdings as of September 30, 2008.
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How to fill out form 13f-hr
How to fill out FORM 13F-HR
01
Obtain the FORM 13F-HR template from the SEC website or your financial institution.
02
Fill in the reporting person's name, address, and contact information at the top of the form.
03
Provide the name of the institutional investment manager that the report is being filed on behalf of.
04
Enter the date of the report and the period covered by the report.
05
List all securities owned, including their names, types, and values. Each security must have a unique tick symbol.
06
Include the total number of shares owned for each security.
07
Calculate the total value of the securities reported.
08
Sign and date the form, certifying that the information provided is accurate.
09
File the completed FORM 13F-HR electronically through the SEC's EDGAR system.
Who needs FORM 13F-HR?
01
Institutional investment managers who manage over $100 million in securities must file FORM 13F-HR.
02
Hedge funds, mutual funds, and other asset managers that meet the asset threshold are required to submit this form.
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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 Securities and Exchange Commission (SEC) concerning their holdings of publicly traded securities.
Who is required to file FORM 13F-HR?
Institutional investment managers that exercise investment discretion over $100 million or more in securities are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
FORM 13F-HR must be filled out using the SEC's designated format, which includes listing the securities owned by the manager, their values, and relevant identifying details. It requires accurate reporting of holdings at the end of each calendar quarter.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide the SEC and the public with information regarding the investment activities of large institutional managers, enhancing transparency in the securities markets.
What information must be reported on FORM 13F-HR?
FORM 13F-HR requires reporting of the names, values, and number of shares of securities held in the institution's portfolio, along with other identifications such as CUSIP numbers.
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