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This document serves as a quarterly report detailing the holdings of institutional investment managers, including their asset values and number of shares held.
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How to fill out form 13f-hr
How to fill out FORM 13F-HR
01
Obtain the FORM 13F-HR from the SEC website or your financial advisor.
02
Indicate the reporting period at the top of the form.
03
Fill in the name of the institutional investment manager.
04
Provide the contact information for the investment manager.
05
List all securities owned during the reporting period in the required table format.
06
Include the number of shares and the value of each security.
07
Calculate and report the total value of all securities held at the end of the period.
08
Review the form for accuracy before submission.
09
Submit the completed form electronically to the SEC via EDGAR.
Who needs FORM 13F-HR?
01
Institutional investment managers who manage over $100 million in securities.
02
Hedge funds and mutual funds that meet the reporting threshold.
03
Investors and analysts seeking insights into institutional investment strategies.
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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 quarterly report filed by institutional investment managers who manage over $100 million in securities. It provides detailed information about the institutional manager's holdings.
Who is required to file FORM 13F-HR?
Institutional investment managers with discretion over $100 million in securities are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
FORM 13F-HR must be filled out by entering the institutional manager's information, listing the securities held, and disclosing the values of those holdings as of the reporting date. Detailed instructions are provided by the SEC.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide transparency into the holdings of large institutional investment managers to promote investor confidence and market integrity.
What information must be reported on FORM 13F-HR?
FORM 13F-HR requires reporting the name of the issuer, class of securities, the number of shares held, the value of the shares, and the voting authority over the securities.
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