What is SEC Form 13F?

Form 13F is a quarterly report that institutional investment managers must file with the SEC, disclosing their equity holdings. If you manage $100 million or more in qualifying securities, you're required to file.

Ready to file? Use our free 13F XML Builder to generate your Information Table in minutes.

Who Must File Form 13F?

You must file Form 13F if you are an institutional investment manager that exercises investment discretion over $100 million or more in Section 13(f) securities.

Institutional investment managers include:

  • Investment advisers registered with the SEC
  • Banks and bank holding companies
  • Insurance companies
  • Broker-dealers
  • Pension funds
  • Corporations with investment departments
The $100 Million Threshold

Once you cross the $100 million threshold, you must continue filing even if your AUM drops below that level, until you file a Form 13F-NT (Notice) for two consecutive quarters.

What Securities Must Be Reported?

Form 13F requires reporting of Section 13(f) securities, which include:

  • Exchange-traded stocks (NYSE, NASDAQ, etc.)
  • Certain equity options and warrants
  • Shares of closed-end investment companies
  • Certain convertible debt securities

The SEC publishes an official list of 13(f) securities quarterly. Only securities on this list need to be reported.

Not reported: Mutual funds, ETFs (most), fixed income securities, foreign securities not traded on U.S. exchanges.

Components of Form 13F

A complete Form 13F filing consists of two parts:

1. Cover Page (13F-HR)

Contains filer information, signature, and summary data. Filed through EDGAR's online forms.

2. Information Table (XML)

Lists all holdings with CUSIP, value, shares, and voting authority. This is what our tool generates.

Filing Deadlines

Form 13F must be filed within 45 days after the end of each calendar quarter:

  • Q1 (Jan-Mar): Due May 15
  • Q2 (Apr-Jun): Due August 14
  • Q3 (Jul-Sep): Due November 14
  • Q4 (Oct-Dec): Due February 14

If the deadline falls on a weekend or holiday, the filing is due the next business day.

View Complete 2026 Deadline Calendar

How to File Form 13F

Filing involves these steps:

  1. Gather your holdings data as of the last day of the quarter
  2. Look up CUSIPs from the official SEC 13(f) list
  3. Generate the XML file for your Information Table
  4. Log into EDGAR and start a 13F-HR filing
  5. Upload your XML and complete the cover page
  6. Submit and save your confirmation

Read Step-by-Step Filing Guide

Penalties for Non-Compliance

Failure to file Form 13F or filing late can result in:

  • SEC enforcement actions
  • Civil monetary penalties
  • Required corrective filings
  • Reputational damage

Additional Resources

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