Form 13F

Notice to EDGAR Form 13F Filers (3/29/2013)

IM Information Update (4/2013)

SEC Form 13F


How do I file a Form 13F with Toppan Merrill ?


For full service processing of Form 13F, complete the applicable Form 13F worksheet(s) below and email them to your local Customer Service site for processing:


What is a Form 13F and who should file it?


This is a quarterly report of equity holdings by institutional investment managers having equity assets under management of $100 million or more. Included in this category are certain banks, insurance companies, investment advisers, investment companies, foundations and pension funds.


Are there different submission types for Form 13F?


Yes. There are 2 types:

  • 13F-HR is filed for Holdings Reports and for Combination Reports.
  • 13F-NT is filed for Notice Reports


What should Form 13F contain?


The securities that institutional investment managers must report on Form 13F are found on the Official List of Section 13(f) Securities ( The Official List is published quarterly to the SEC’s website. It is not available in paper copy format or on computer disk.


When is this form required to be filed?


This Form must be filed due 45 days following the end of each fiscal quarter from institutional investment managers.


Must Form 13F be typeset and printed?


No. Form 13F is EDGAR-only and can only be filed in XML format. See the SEC’s Notice to EDGAR Form 13F Filers: