Get the free Guidance Update: Form 13F Confidential Treatment Requests ... - edgar sec

I'm Guidance Update October 2013 No. 2013-08 FORM 13F CONFIDENTIAL TREATMENT REQUESTS BASED ON A CLAIM OF ONGOING ACQUISITION/DISPOSITION PROGRAM This IM Guidance Update is meant to assist institutional

How to fill out guidance update form 13f

How to fill out guidance update form 13f:

1. Begin by gathering all relevant information and documents required to complete the form, such as your company's holdings of securities, as well as any changes or updates that need to be reported.
2. Make sure you have the most recent version of the guidance update form 13f, which can typically be found on the official website of the Securities and Exchange Commission (SEC).
3. Start filling out the form by providing your company's name, SEC-assigned Central Index Key (CIK) number, and any other identifying information as requested.
4. In Section 1, report your company's name and address, as well as the filing date for the form.
5. Proceed to Section 2, where you will disclose the name and address of the person submitting the form on behalf of your company. This should be someone who has knowledge of the company's holdings and can accurately complete the form.
6. In Section 3, provide the total value of your company's holdings of securities on the last trading day of the most recent calendar quarter. This should include both domestic and foreign securities.
7. Next, in Section 4, list each security held by your company in the required format, including the name of the issuer, title of the security, CUSIP number (if available), and the class and series of the security.
8. Indicate the number of shares or principal amount of each security in Column A, the value of each security in Column B, and the voting authority in Column C.
9. If there are any changes or updates to your company's holdings since the last filing, include them in Section 5. This may include acquisitions, dispositions, or changes in the voting authority.
10. Complete the remainder of the form by providing any additional requested information, such as exempt reporting advisers or special instructions.
11. Before submitting the form, review all the information entered to ensure accuracy and completeness.
12. Sign and date the form, certifying that the information provided is true and accurate to the best of your knowledge.
13. Keep a copy of the completed form for your records, as it may be required for future reference or as supporting documentation.
14. File the completed form electronically with the SEC by the specified deadline.

Who needs guidance update form 13f:

1. Institutional investment managers with assets under management (AUM) of $100 million or more are generally required to file the guidance update form 13f.
2. This includes entities such as banks, insurance companies, investment advisers, and certain other types of institutional investors.
3. The form is used to report information about their holdings of certain securities to the SEC on a quarterly basis.
4. Filing the form helps promote transparency and provides valuable information for market participants, investors, and regulatory bodies.

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