Get the free AXA. FORM 13F-HR (Form 13F Holdings Report) Filed 08/14/09 for the Period Ending 06/...
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FORM 13FHR (Form 13F Holdings Report)Filed 08/14/09 for the Period Ending 06/30/09Telephone CIK Symbol SIC Code Industry Sector Fiscal Year2125544489 0000898427 AX AHY 6311 Life Insurance Life & Health
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How to fill out axa form 13f-hr form
How to fill out axa form 13f-hr form
01
To fill out AXA form 13F-HR form, follow these points:
02
Start by section 1, where you will need to enter your SEC file number and the exact name of the registrant.
03
In section 2, provide the address of the registrant, including street, city, state, and ZIP code.
04
Move on to section 3, where you will indicate whether the registrant is a voluntary filer or a mandatory filer.
05
In section 4, specify the type of management investment company filing the form and their address.
06
Proceed to section 5, where you will disclose the total value of securities as of the close of the month being reported.
07
Section 6 requires you to list all securities held in the portfolio at the end of the quarter, including the name of the issuer and the class of securities.
08
If there are any multi-manager funds, section 7 should be completed to provide additional information.
09
Section 8 is for reporting aggregate amounts, such as the aggregate amount of nondiscretionary voting authority, aggregate amount of securities, etc.
10
Finally, review the completed form for accuracy and sign and date it accordingly. Keep a copy for your records.
Who needs axa form 13f-hr form?
01
AXA form 13F-HR is required by investment managers who manage portfolios of securities with an aggregate fair market value of at least $100 million on the last trading day of any month in a calendar year.
02
This form is mandated by the Securities and Exchange Commission (SEC) under Section 13(f) of the Securities Exchange Act of 1934.
03
It is used to disclose information about the holdings of institutional investment managers, including the type of securities held and the number of shares owned.
04
Therefore, any investment manager meeting the specified criteria must file form 13F-HR to comply with SEC regulations.
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