How to File SEC Form 13F: Step-by-Step Guide

This guide walks you through the complete process of preparing and submitting your Form 13F quarterly holdings report through EDGAR.

Time required: 15-30 minutes for most filers (after initial setup)

1 Gather Your Holdings Data

Compile your Section 13(f) securities holdings as of the last trading day of the quarter:

  • March 31 for Q1
  • June 30 for Q2
  • September 30 for Q3
  • December 31 for Q4

For each holding, you'll need:

  • Security identifier (ticker symbol or CUSIP)
  • Number of shares held
  • Market value (in thousands of dollars)
  • Investment discretion (Sole, Shared-Defined, or Shared-Other)
  • Voting authority breakdown (Sole, Shared, None)
Tip: Export your holdings from your portfolio management system or prime broker in CSV format for easy import.

2 Verify Securities Against the 13(f) List

Only securities on the SEC's official 13(f) list need to be reported. The list is updated quarterly.

For each security, you need the exact:

  • CUSIP (9-character identifier)
  • Issuer name (as it appears on the SEC list)
  • Title of class (e.g., "COM", "CL A")

Our tool includes the complete SEC 13(f) list with 11,800+ securities. Just search by ticker or company name.

Learn About the 13(f) List

3 Generate Your Information Table XML

The Information Table must be submitted as an XML file conforming to the SEC's schema (version 1.9).

Using 13F Builder (Recommended):
  1. Go to 13F Builder
  2. Search for securities or import your CSV file
  3. Enter values, shares, and voting authority for each holding
  4. Review the validation status
  5. Click "Generate & Download" to get your XML file
Launch 13F Builder
XML File Requirements:
  • Must validate against eis_13FDocument.xsd schema
  • File name should be information_table.xml
  • UTF-8 encoding
  • All monetary values in thousands (e.g., $1,000,000 = 1000)

4 Log Into EDGAR

Access the SEC's EDGAR filing system:

  1. Go to EDGAR Filer Management
  2. Log in with your CIK number and password
  3. Select "File Form 13F"
First-time filer? You'll need EDGAR access codes first. Apply through the EDGAR access request form. This can take several business days.

5 Complete the 13F-HR Cover Page

Fill out the required cover page information:

  • Report type: 13F-HR (Holdings Report) or 13F-HR/A (Amendment)
  • Report period: Quarter end date
  • Institutional manager info: Name, address, phone
  • Form 13F file number (assigned after first filing)
  • Report summary: Number of holdings, total value
  • List of other managers (if discretion is shared)
  • Signature

6 Upload XML and Submit

  1. In the Documents section, click "Add Document"
  2. Select your information_table.xml file
  3. Document type should be "INFORMATION TABLE"
  4. Verify the upload was successful (EDGAR validates the XML)
  5. Review all information on the confirmation page
  6. Click "Submit Filing"
  7. Save your accession number for your records
Success! You'll receive an email confirmation from EDGAR. Your filing will appear on the SEC website within 24 hours.

Common Filing Issues

EDGAR validates your XML against the SEC schema. Common issues: invalid CUSIP format, missing required fields, values exceeding limits. Our tool validates before download to prevent these errors.

Only securities on the official SEC list should be reported. If a security isn't on the list, it's either not a 13(f) security or the CUSIP may have changed. Check the latest quarterly list.

The sum of Sole + Shared + None voting should equal or be less than total shares. Our tool validates this automatically.

Next Steps

Ready to Create Your Information Table?

Generate a compliant XML file in minutes with our free tool.

Launch 13F Builder