Form 13F
Also called: 13F, 13F-HR, Form 13F holdings report, 13F filing
A quarterly SEC report in which institutional investment managers with at least $100 million in qualifying US securities list their long holdings, filed within 45 days of quarter end.
Last verified
Who files and when
Section 13(f) of the Exchange Act requires institutional investment managers that exercise investment discretion over $100 million or more in "13(f) securities" (mainly US exchange-listed stocks, certain options and convertibles, and some ETFs) to file Form 13F. The report is due within 45 days after the end of each calendar quarter and shows positions as of the last day of the quarter.
What it shows and what it does not
A 13F-HR lists, for each holding, the issuer, class, CUSIP, number of shares or principal amount, market value, and whether the position is a put or call option.
It does not show:
- short positions;
- cash, most bonds, or non-US holdings;
- trades during the quarter, only the quarter-end snapshot;
- positions below the reporting threshold of a non-filer.
Managers can also request confidential treatment for some positions, which then appear in a later amendment.
Worked example
Hypothetical: Fund Y files its 13F on May 15 for the quarter ended March 31. It shows 2,000,000 Company X shares. By the filing date, those shares may already have been sold. In Fund Y's previous 13F, filed in February for December 31, it reported 500,000 shares, so the position grew by 1,500,000 shares during the first quarter, at some point.
Why it matters
13Fs are the main public record of institutional ownership, useful for seeing which managers hold a company and how holdings change quarter to quarter. Because of the lag and the absence of shorts and hedges, they describe past positions, not current intentions. A holder of more than 5% of a class also files Schedule 13D or 13G, which is more timely.
How to spot it
Search EDGAR for form type 13F-HR, or use the Signal8 institutions pages. See 13F explained.
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