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:
- Form 13F – Cover Worksheet (13F-HR and 13F-NT)
- Form 13F-CTR – Cover Worksheet (13F-CTR)
- Form 13F – Information Table Worksheet (13F-HR and 13F-CTR)
For online, self-service filings of Form 13F, leverage the Toppan Merrill SEC Connect SaaS platform.
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 3 types:
- 13F-HR is filed for Holdings Reports and for Combination Reports
- 13F-CTR is filed to Request Confidential Treatment for Holdings 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 (https://www.sec.gov/divisions/investment/13flists.htm). The Official List is published quarterly to the SEC’s website.
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:
Form 13F FAQ: https://www.sec.gov/divisions/investment/13ffaq
Final Rule: Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F (06/30/2022)