Resources

Helpful links & insights for EDGAR and SEC.

 

Form 13F

To paraphrase the rules, if a manager has investment discretion on over $100 million in 13F Securities at any given month end period they are to start reporting (submit the Form 13F) in the 4Q of that year and continue at a minimum through the 3Q of the following year.


Form 13H

Rule 13h-1 requires a “Large Trader” whose transactions in “NMS securities” equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month (“Identifying Activity Level”), to identify itself to the Commission and make certain disclosures to the Commission via the Form 13H. 

SEC 13H FAQ: https://www.sec.gov/divisions/marketreg/large-trader-faqs.htm


Schedule 13G/D

When a person or group of persons acquires beneficial ownership of more than five percent of a voting class of a company’s equity securities registered under the Securities Exchange Act, they are required to file a Schedule 13D with the SEC. Depending upon the facts and circumstances, the person or group of persons may be eligible to file the more abbreviated Schedule 13G in lieu of Schedule 13D.

SEC 13G FAQ: https://www.sec.gov/divisions/corpfin/guidance/reg13d-interp.htm



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