Form 13F is a quarterly report filed, per
United States Securities and Exchange Commission
The United States Securities and Exchange Commission (SEC) is an independent agencies of the United States government, independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. Its ...
regulations,
[Securities and Exchange Act of 1934]
as amended by "
institutional
An institution is a humanly devised structure of rules and norms that shape and constrain social behavior. All definitions of institutions generally entail that there is a level of persistence and continuity. Laws, rules, social conventions and ...
investment managers" with control over $100M in assets to the SEC, listing all
equity assets under management
In finance, assets under management (AUM), sometimes called fund under management, refers to the total market value of all financial assets that a financial institution—such as a mutual fund, venture capital firm, or depository institutio ...
.
[Form 13F — Reports Filed by Institutional Investment Managers]
SEC website Academic researchers make these reports freely available as structured datasets.
Form 13F provides position-level disclosure of all institutional investment managers with more than $100m in assets under management with relevant
long
Long may refer to:
Measurement
* Long, characteristic of something of great duration
* Long, characteristic of something of great length
* Longitude (abbreviation: long.), a geographic coordinate
* Longa (music), note value in early music mens ...
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 Pooling (resource management), pooled investment fund that holds Market liquidity, liquid assets and that makes use of complex trader (finance), trading and risk management techniques to aim to improve investment performance and ...
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 mu ...
* Schedule 13G
*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, parties who will own more than five percent of a class of a company's securities after ...
References
{{reflist
SEC filings
Asset lists
Accounting in the United States