Form 13F is a quarterly report filed, per
United States Securities and Exchange Commission
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. The primary purpose of the SEC is to enforce the law against mark ...
regulations,
[Securities and Exchange Act of 1934]
as amended by "
institutional
Institutions are humanly devised structures of rules and norms that shape and constrain individual behavior. All definitions of institutions generally entail that there is a level of persistence and continuity. Laws, rules, social conventions a ...
investment managers" with control over $100M in assets to the SEC, listing all
equity assets under management.
[Form 13F — Reports Filed by Institutional Investment Managers]
SEC website
Form 13F provides position-level disclosure of all institutional investment managers with more than $100m in assets under management with relevant
long US holdings. All US-listed equity securities (including ETFs) in the manager’s portfolio are included and detailed according to the number of shares, the ticker, the issuer name, etc. The full list of securities currently covered by form 13F includes more than 17,500 securities.
[Form 13F — Covered Securities]
/ref> Form 13F covers institutional investment managers, which include Registered Investment Advisers (RIAs), banks, insurance companies, hedge fund
A hedge fund is a pooled investment fund that trades in relatively liquid assets and is able to make extensive use of more complex trading, portfolio-construction, and risk management techniques in an attempt to improve performance, such as shor ...
s, trust companies, pension funds, mutual funds, For example, an investment adviser that manages private accounts, mutual fund assets, or pension plan assets is an institutional investment manager.
Short positions are not required to be disclosed on Form 13F, nor subtracted from long positions that are reported. In 2015, the New York Stock Exchange and the National Investor Relations Institute submitted a petition to the SEC supporting a requirement for disclosure of short positions on Form 13F.[Form 13F - CAIA Educational Materials]
13F analysis in its study materials, as well. Absent access to privileged access to manager holdings, Form 13F provides a baseline level of data with which to analyze investment manager exposures, performance attribution, and associated risks.
See also
*Schedule 13D
Schedule 13D is an SEC filing that must be submitted to the US Securities and Exchange Commission within 10 days by anyone who acquires beneficial ownership of more than 5% of any class of publicly traded securities in a public company. A filer m ...
*Schedule 13G Schedule 13G is an alternative SEC filing for the Schedule 13D which can be filed in lieu of Schedule 13D by anyone who acquires more than 5% ownership of a Section 13 security and qualifies for one of the exemptions available to the Schedule 13D f ...
*Schedule TO
Schedule TO is a required filing form of the United States Securities and Exchange Commission.
Under the United States federal Securities Exchange Act of 1934
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 ...
References
{{reflist
SEC filings
Asset lists
Accounting in the United States