Form 13F filings and data

01

What Form 13F contains

A Form 13F filing is one EDGAR submission with three parts. The cover page identifies the filing manager and report type. The summary page reports aggregate counts and other-manager information. The XML information table lists the disclosed securities and position-level fields.

• Issuer name and security class or title
• CUSIP and, when applicable, put/call indicator
• Reported value and shares or principal amount
• Investment-discretion category and other-manager references
• Voting-authority fields
• Report period, filing date, form type, CIK, and accession number

02

Report period is not filing date

The report period is the quarter-end date represented by the holdings. The filing date is when the manager submitted the report to EDGAR. Because a filing may arrive up to 45 days after quarter-end, a position can already be weeks old when it becomes public.

AUMSearch pages should display both dates and must never describe a 13F position as real-time.

03

Who must file Form 13F

Under Rule 13f-1, an institutional investment manager that exercises investment discretion over at least $100 million in Section 13(f) securities on the last trading day of any month during a calendar year becomes subject to the filing requirement described by the rule. The SEC FAQ explains that the manager must make the required sequence of quarterly filings even if it later falls below the threshold during that filing cycle.

• The threshold applies to Section 13(f) securities, not every asset the manager oversees.
• The report covers positions required by Form 13F rather than the manager’s complete portfolio.
• The official SEC FAQ and form instructions govern filing questions; AUMSearch is an explanatory data resource, not filing advice.

04

Where to search Form 13F filings

The authoritative source is SEC EDGAR. Search by manager name or CIK, open the filing detail page, confirm the form type and report period, and inspect the information-table attachment. A data service can make that workflow faster, but each normalized record should still link back to its EDGAR accession number and source document.

05

What Form 13F does not show

Form 13F is not a complete portfolio statement. It is limited to reportable Section 13(f) securities and the positions required by the form.

• Short positions are not reported.
• Many asset classes and non-reportable securities are outside the information table.
• The filing does not reveal every hedge, derivative exposure, or economic offset.
• The data does not show trades made after the report period.
• Reported 13F value should not be labeled assets under management.

06

Amendments and notice filings

A 13F-HR/A amends a holdings report. A 13F-NT is a notice report used in circumstances described by the form instructions, including when holdings are reported by another manager. Data systems must preserve the original submission and connect amendments or notices rather than silently replacing filing history.

07

The official Section 13(f) securities list

The SEC publishes an Official List of Section 13(f) Securities shortly after each calendar quarter. The list determines which securities may be reportable for that period. Researchers should use the list for the applicable quarter rather than assuming that every public stock, fund, bond, or derivative belongs in a 13F information table.

08

How AUMSearch should represent the data

Every normalized holding should remain connected to its filing manager, report period, form type, accession number, reported security identifier, and official EDGAR document. Calculated quarter-over-quarter changes must be labeled as AUMSearch calculations rather than filer-reported fields.