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This document is a quarterly report by institutional investment managers detailing their holdings at the end of the reporting period.
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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's website or your financial institution.
02
Fill out the header with your name, address, and the date.
03
Indicate your SEC file number and central index key (CIK) if applicable.
04
List all the securities you hold that are required to be reported, along with their relevant details.
05
Provide the value of each security and the number of shares held.
06
Ensure that all information is accurate and complete.
07
Sign and date the form.
08
Submit the completed FORM 13F-HR to the SEC electronically or through the mail.
Who needs FORM 13F-HR?
01
Investment managers who manage over $100 million in assets.
02
Institutional investors that meet the SEC threshold for reporting.
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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 must file with the U.S. Securities and Exchange Commission (SEC) that provides information about their equity ownership.
Who is required to file FORM 13F-HR?
Institutional investment managers that have investment discretion over $100 million or more in Section 13(f) securities are required to file FORM 13F-HR.
How to fill out FORM 13F-HR?
FORM 13F-HR must be completed by providing identifying information about the filer, listing all Section 13(f) securities owned, and reporting the value of each security and the total value of the holdings.
What is the purpose of FORM 13F-HR?
The purpose of FORM 13F-HR is to provide the SEC and the public with details on the investments held by large institutional investment managers, enhancing transparency in the financial markets.
What information must be reported on FORM 13F-HR?
FORM 13F-HR requires reporting of the name of the issuer, the class of securities, the number of shares owned, the value of the holdings, and the market value of the securities.
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