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SECURITIES AND EXCHANGE COMMISSIONER 13FHR Initial quarterly Form 13F holdings report filed by institutional managersFiling Date: 20210216 | Period of Report: 20201231 SEC Accession No. 000117266121000847

How to fill out 13f-hr form - quarterly

How to fill out 13f-hr form - quarterly

1. To fill out the 13f-hr form - quarterly, follow these steps:
2. Obtain the form: Download the 13F-HR form from the Securities and Exchange Commission (SEC) website or access it through the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
3. Provide basic information: Fill in the required fields, including your name, CIK number, and the period covered by the report.
4. Identify the filing type: Indicate if the filing is an initial filing, amendment, or a report of holdings.
5. Report information about the manager: Provide details about the investment manager, such as their name, address, and form of organization.
6. Disclose other managers: If there are any other investment managers exercising voting authority on behalf of the reporting manager, disclose their information as well.
7. Provide information about securities: List all securities over which the manager exercises investment discretion, including the name of the issuer, class of securities, CUSIP number, and the value of the security.
8. Report voting authority: Specify the number of shares or principal amount of each security that the manager had sole or shared voting authority over during the reporting period.
9. Sign and date the form: Certify the accuracy and completeness of the information provided by signing and dating the form.
10. Submit the form: File the completed 13F-HR form with the SEC within the specified deadline.
11. Keep a copy: Retain a copy of the filed form for your records.
12. Remember to comply with any additional instructions provided by the SEC or consult a professional if you require further guidance.

Who needs 13f-hr form - quarterly?

1. The 13F-HR form - quarterly is required to be filed by institutional investment managers who exercise investment discretion over certain assets.
2. This includes managers who manage a portfolio of assets for clients and meet specific reporting thresholds set by the SEC.
3. Investment managers with over $100 million in qualifying assets under management are generally required to file the 13F-HR form on a quarterly basis.
4. These managers must report their holdings of certain securities at the end of each calendar quarter.
5. The form is used to provide transparency to the SEC and the public regarding the investment activities and positions of institutional investment managers.

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What is 13f-hr form - quarterly?

The 13f-hr form - quarterly is a form required by the Securities and Exchange Commission (SEC) that must be filed by institutional investment managers to report their holdings of publicly traded securities.

Who is required to file 13f-hr form - quarterly?

Institutional investment managers with investment discretion over $100 million or more in certain securities are required to file the 13f-hr form - quarterly.

How to fill out 13f-hr form - quarterly?

The 13f-hr form - quarterly can be filled out electronically through the SEC's EDGAR system following the instructions provided by the SEC.

What is the purpose of 13f-hr form - quarterly?

The purpose of the 13f-hr form - quarterly is to provide transparency into the holdings and investment strategies of institutional investment managers, which can be useful for investors, analysts, and regulators.

What information must be reported on 13f-hr form - quarterly?

The 13f-hr form - quarterly requires institutional investment managers to report information on the securities they hold, including the name of the issuer, the class of security, the number of shares held, and the fair market value of the holdings.