Frequently Asked Questions
It's free right now. In the future, we may introduce a small per-filing charge (think $10-20, not $150+) to cover costs and provide support.
The reason we can keep costs so low compared to services charging $150-300+ per filing is that everything this tool does is based on publicly available SEC resources:
- The official list of 13(f) securities with all CUSIPs, updated quarterly
- The XML technical specification defining the exact format required
- A comprehensive Form 13F guide (PDF) explaining all requirements
There's no proprietary data or complex processing involved — just a user-friendly interface on top of what the SEC already provides.
We built this as a side project to help smaller investment managers who may not have the budget for expensive filing services. No account required, no data stored on our servers.
SEC Form 13F is a quarterly report required by the Securities and Exchange Commission (SEC) for institutional investment managers who exercise investment discretion over $100 million or more in Section 13(f) securities.
The form discloses the manager's equity holdings and must be filed within 45 days after the end of each calendar quarter.
You must file Form 13F if you are an institutional investment manager and either:
- Exercise investment discretion over $100 million or more in Section 13(f) securities, or
- Shares investment discretion with another manager that files Form 13F
Institutional investment managers include investment advisers, banks, insurance companies, broker-dealers, pension funds, and corporations.
Section 13(f) securities include:
- Exchange-traded stocks (NYSE, NASDAQ, etc.)
- Certain exchange-traded options and warrants
- Shares of closed-end investment companies
- Certain convertible debt securities
The SEC publishes an official list of Section 13(f) securities quarterly. This tool uses that list to help you look up valid CUSIPs.
The Information Table is a required attachment to Form 13F-HR that lists all your Section 13(f) security holdings. It must be submitted as an XML file following the SEC's technical specification.
This tool generates the Information Table XML file. You still need to complete the Form 13F-HR (cover page) separately through EDGAR.
- Add Holdings: Search for securities by name or CUSIP, or enter data manually
- Or Import CSV: Upload a CSV file with your holdings data
- Review: Check the holdings table for accuracy
- Generate XML: Click the generate button to download your XML file
- Submit to EDGAR: Upload the XML file when filing your 13F-HR through EDGAR
Your CSV should have a header row with column names. Required columns:
| Column | Description | Example |
|---|---|---|
cusip | 9-character CUSIP | 037833100 |
nameOfIssuer | Issuer name | APPLE INC |
titleOfClass | Security class | COM |
value | Value in $1000s | 5000 |
sshPrnamt | Number of shares | 25000 |
sshPrnamtType | SH or PRN | SH |
investmentDiscretion | SOLE, DFND, or OTR | SOLE |
votingSole | Sole voting shares | 25000 |
votingShared | Shared voting shares | 0 |
votingNone | No voting shares | 0 |
Optional columns: figi, putCall, otherManager
- CUSIP
- The 9-character Committee on Uniform Securities Identification Procedures number for the security.
- FIGI
- Optional 12-character Financial Instrument Global Identifier.
- Name of Issuer
- The name of the company that issued the security, as it appears on the 13F list.
- Title of Class
- The type of security (e.g., "COM" for common stock, "CL A" for Class A shares).
- Value
- Market value of the holding in thousands of dollars ($1000s). Use the closing price on the last trading day of the quarter.
- Shares/Principal Amount
- Number of shares held (for equities) or principal amount (for debt securities).
- Type (SH/PRN)
- SH = Shares, PRN = Principal amount (for debt securities).
- Put/Call
- If reporting options, indicate whether they are Put or Call options. Leave blank for regular stock holdings.
- Investment Discretion
-
- SOLE: Manager has sole investment discretion
- DFND: Shared discretion - defined by written agreement
- OTR: Shared discretion - other arrangement
- Other Manager
- If discretion is shared, list the numbers of other managers (from the cover page) who share discretion.
- Voting Authority
- How voting rights are divided: Sole (you control), Shared (joint control), or None (no voting rights).
This tool validates your holdings against the SEC's official XML schema (eis_13FDocument.xsd version 1.9). Validation checks include:
- CUSIP format (9 alphanumeric characters)
- FIGI format (12 alphanumeric characters, if provided)
- Required fields are present
- Numeric values are non-negative integers
- Enumerated values (SH/PRN, SOLE/DFND/OTR, Put/Call) are valid
- String lengths are within limits
The generated XML file is ready for EDGAR submission.
Form 13F must be filed within 45 days after the end of each calendar quarter:
- Q1 (Jan-Mar): Due by May 15
- Q2 (Apr-Jun): Due by August 14
- Q3 (Jul-Sep): Due by November 14
- Q4 (Oct-Dec): Due by February 14
If the deadline falls on a weekend or holiday, the filing is due on the next business day.
Yes! The Information Table XML format is identical for both original filings (13F-HR) and amendments (13F-HR/A).
To file an amendment:
- Generate your complete corrected holdings using this tool (not just the changes)
- Download the XML file
- On EDGAR, select 13F-HR/A (Amendment) instead of 13F-HR
- Upload your corrected Information Table XML
- Complete the cover page, noting it's an amendment
Your holdings are temporarily saved in your browser's local storage. This means:
- Your data persists if you refresh the page or close your browser
- Data is stored only on your device, not on our servers
- Clearing your browser data will remove saved holdings
- Data is not shared between different browsers or devices
We recommend downloading a backup CSV of your data for important filings.
Need More Help?
For questions about 13F filing requirements, consult the SEC's 13F FAQ or speak with a securities compliance professional.