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This document provides a report of the holdings of institutional investment managers, including details about the entity filing, the report period, and a summary of holdings.
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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 financial institution.
02
Fill in the top section with your name, address, and the name of the institutional investment manager who must file the form.
03
Provide the reporting period for which you are filing the form.
04
List all securities holdings that were managed by the institutional investment manager as of the end of the quarter.
05
Include the value of each holding and the number of shares held.
06
Verify that all information is accurate and complete.
07
Sign and date the form.
08
Submit the completed FORM 13F-HR electronically to the SEC by the required deadline.
Who needs FORM 13F-HR?
01
Institutional investment managers managing $100 million or more in securities.
02
Hedge funds, mutual funds, and other investment firms that have substantial 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.
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What is FORM 13F-HR?
FORM 13F-HR is a report that institutional investment managers in the United States are required to file with the Securities and Exchange Commission (SEC) to disclose their equity holdings.
Who is required to file FORM 13F-HR?
Institutional investment managers that manage over $100 million in securities are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
To fill out FORM 13F-HR, managers must report their equity holdings by providing details such as the name of the issuer, class of securities, quantity owned, and fair market value, and submit the form electronically to the SEC.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide transparency in the holdings of institutional investment managers and to help monitor and track their investment activities.
What information must be reported on FORM 13F-HR?
The information that must be reported on FORM 13F-HR includes the name of the issuer, the class of securities, the number of shares or principal amount of each security, and the fair market value of the holdings.
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