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Complete Spreadsheet Complete our Form 13F spreadsheet template to include cover page information, other managers reporting, other included managers, and information table data. Why report more than what you're required? Select filtering options to remove holdings that do not appear in the 13F official list or meet the minimum requirements. Frustrations working with the Official 13F list as provided by the SEC in PDF format? We make Official 13F lists available in our Compliance Management Portal in Excel format. |
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Send to Newsfile Submit the completed Form 13F spreadsheet via email or the Compliance Management Portal to our team along with your filing instructions. Using proprietary software, Newsfile will generate the Form 13F XML data for filing and an accompanying proof for your review. |
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Review Proof Review the Form 13F XML code and an HTML preview securely online. The HTML preview is based on the official SEC 13F template and reflects how it will appear once filed on the SEC web site. If filtering options are selected, review a report illustrating the adjustments our software made to information table data. |
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Approve Provide your approval to file. Newsfile will submit the Form 13F XML data to the SEC EDGAR system and provide you with an email acceptance message. |
Institutional investment managers who exercise investment discretion over $100 million or more in Section 13(f) securities must report their holdings on Form 13F with the SEC EDGAR system. Form 13F requires disclosure of the names of institutional investment managers, the names of the securities they manage and the class of securities, the CUSIP number, the number of shares owned, and the total market value of each security.
The securities that institutional investment managers must report on Form 13F are found on what is known as the Official List of Section 13(f) Securities. The Official List is published quarterly and is available for free on the SEC's website.
If all of your Section 13(f) securities are listed on your Form 13F, you are filing a 13F Holdings Report under Form type 13F-HR.
If some of your Section 13(f) securities are listed on your Form 13F and the rest of your Section 13(f) securities are listed on someone else's Form 13F, you are filing a 13F Combination Report under Form type 13F-HR.
If none of your Section 13(f) securities is listed on your Form 13F because all of your Section 13(f) securities are reported on someone else's Form 13F, you are filing a 13F Notice under Form type 13F-NT.
The content of this page is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.