Information required of institutional investment managers pursuant to Section 13(f) (PDF)

The U.S. Securities and Exchange Commission (SEC) has published Form 13F – Information Required of Institutional Investment Managers Pursuant To Section 13(F) of the Securities Exchange Act of 1934 and rules thereunder which will be valid through September 30, 2025 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB) for extension.
The form must be filed quarterly with the SEC by institutional investors with an investment volume (asset under management (AUM)) of more than USD 100 million. The form which is due within 45 days following the end of a quarter requires information on
(1) the names of the issuers of held securities;
(2) a description of the class of security (e.g. common stock, put/call option, class A shares, convertible debenture) and its CUSIP;
(3) the number of shares owned; and
(4) the fair market value of the securities as of the end of the quarter.
The Form also contains detailed filing instructions. The aim of the Form 13F report is to increase transparency over large security holdings, not only for the SEC, but for other financial market participants as well.