SEC 13F Rules and Thresholds

The SEC 13F filing threshold is $100 million of assets.

SEC 13F Deadlines

File by 13F 5/15 deadline with this user-friendly 13F filing service. The deadline date for this 13F is 5/15. File by 13F 8/14 deadline with this cost-effective 13F filing service. The 13F deadline is 45 days after end of quarter. File by 13F 2/14 deadline with this user-friendly 13F filing service. The deadline date for this 13F is 11/14. This tool converts Excel to 13F XML.

Requirements and Deadlines
13f.site
a division of Advanced Computer Innovations, Inc. 70 Office Park Way • Pittsford, NY 14534-1746 (USA) Phone or Text: 585-310-1740 • Email: click here

Who must file Form 13F?

Institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F. An institutional manager is: • an entity that either invests in, or buys and sells, securities for its own account (e.g., banks, insurance companies, broker/dealers, as well as corporations and pension funds that manage their own investment portfolios); or • a person or entity that exercises investment discretion over the account of another person or entity (e.g., an investment adviser managing private accounts, a mutual fund, or trust department of a bank). A person who exercises investment discretion over his or her own account is not an institutional investment manager.

Which securities should be included in the filing?

All securities you hold which are in the SEC 13F list must be included, except that you may opt to omit securities which after aggregation amount to less than 10,000 shares and fair market value less than $200,000 (under-threshold securities - both conditions must be met).

What are the 13F filing deadlines?

You need to submit four Form 13F filings once you meet the $100 million filing threshold on the last trading day of any month, even if you subsequently fall below this threshold. The first filing is due within 45 days after the end of the calendar year in which you met the filing threshold, i.e., by February 14 of the subsequent year. Three additional filings are due within 45 days after the ends of the next three calendar quarters, i.e., quarters ending March 31, June 30, and September 30.

Meet the filing deadline with no hassles …

We are a full-service SEC Filing Agent with EDGAR credentials, and can take care of your 13F filing all the way from start to submission with little effort on your part - simply send us the cover sheet information and your holdings table in whatever form you have it, and we can take it from there. Or, if you would rather file yourself and only need help with the XML information table, use our secure, easy-to-use and very cost-effectve web portal that enables you to generate the XML table directly from your Excel spreadsheets and download it ready for submission in a few seconds. Click here to access this portal. Further questions or need additional help? Use our contact form, call/text 585-310-1740, or email us, for a quick response.
Copyright © Advanced Computer Innovations, Inc., 2024 Last updated 2024-10-07 EDGAR® and SEC® are trademarks of the U.S. Securities and Exchange Commission. Advanced Computer Innovations, Inc.’s products and services are not affiliated with or approved by the U.S. Securities and Exchange Commission.
Requirements and Deadlines
13f.site
a division of Advanced Computer Innovations, Inc. 70 Office Park Way • Pittsford, NY 14534-1746 (USA) Phone or Text: 585-310-1740 • Email: click here
Copyright © Advanced Computer Innovations, Inc., 2024 Last updated 2024-10-07 EDGAR® and SEC® are trademarks of the U.S. Securities and Exchange Commission. Advanced Computer Innovations, Inc.’s products and services are not affiliated with or approved by the U.S. Securities and Exchange Commission.

Who must file Form 13F?

Institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F. An institutional manager is: • an entity that either invests in, or buys and sells, securities for its own account (e.g., banks, insurance companies, broker/dealers, as well as corporations and pension funds that manage their own investment portfolios); or • a person or entity that exercises investment discretion over the account of another person or entity (e.g., an investment adviser managing private accounts, a mutual fund, or trust department of a bank). A person who exercises investment discretion over his or her own account is not an institutional investment manager.

Which securities should be included in the filing?

All securities you hold which are in the SEC 13F list must be included, except that you may opt to omit securities which after aggregation amount to less than 10,000 shares and fair market value less than $200,000 (under-threshold securities - both conditions must be met).

What are the 13F filing deadlines?

You need to submit four Form 13F filings once you meet the $100 million filing threshold on the last trading day of any month, even if you subsequently fall below this threshold. The first filing is due within 45 days after the end of the calendar year in which you met the filing threshold, i.e., by February 14 of the subsequent year. Three additional filings are due within 45 days after the ends of the next three calendar quarters, i.e., quarters ending March 31, June 30, and September 30.

Meet the filing deadline with no hassles …

We are a full-service SEC Filing Agent with EDGAR credentials, and can take care of your 13F filing all the way from start to submission with little effort on your part - simply send us the cover sheet information and your holdings table in whatever form you have it, and we can take it from there. Or, if you would rather file yourself and only need help with the XML information table, use our secure, easy-to-use and very cost-effectve web portal that enables you to generate the XML table directly from your Excel spreadsheets and download it ready for submission in a few seconds. Click here to access this portal. Further questions or need additional help? Use our contact form, call/text 585-310-1740, or email us, for a quick response.
Requirements and Deadlines
13f.site
a division of Advanced Computer Innovations, Inc. 70 Office Park Way • Pittsford, NY 14534-1746 (USA) Phone or Text: 585-310-1740 • Email: click here
Copyright © Advanced Computer Innovations, Inc., 2024 Last updated 2024-10-07 EDGAR® and SEC® are trademarks of the U.S. Securities and Exchange Commission. Advanced Computer Innovations, Inc.’s products and services are not affiliated with or approved by the U.S. Securities and Exchange Commission.

Who must file Form 13F?

Institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F. An institutional manager is: • an entity that either invests in, or buys and sells, securities for its own account (e.g., banks, insurance companies, broker/dealers, as well as corporations and pension funds that manage their own investment portfolios); or • a person or entity that exercises investment discretion over the account of another person or entity (e.g., an investment adviser managing private accounts, a mutual fund, or trust department of a bank). A person who exercises investment discretion over his or her own account is not an institutional investment manager.

Which securities should be included in

the filing?

All securities you hold which are in the SEC 13F list must be included, except that you may opt to omit securities which after aggregation amount to less than 10,000 shares and fair market value less than $200,000 (under- threshold securities - both conditions must be met).

What are the 13F filing deadlines?

You need to submit four Form 13F filings once you meet the $100 million filing threshold on the last trading day of any month, even if you subsequently fall below this threshold. The first filing is due within 45 days after the end of the calendar year in which you met the filing threshold, i.e., by February 14 of the subsequent year. Three additional filings are due within 45 days after the ends of the next three calendar quarters, i.e., quarters ending March 31, June 30, and September 30.

Meet the filing deadline with no

hassles …

We are a full-service SEC Filing Agent with EDGAR credentials, and can take care of your 13F filing all the way from start to submission with little effort on your part - simply send us the cover sheet information and your holdings table in whatever form you have it, and we can take it from there. Or, if you would rather file yourself and only need help with the XML information table, use our secure, easy-to-use and very cost- effectve web portal that enables you to generate the XML table directly from your Excel spreadsheets and download it ready for submission in a few seconds. Click here to access this portal. Further questions or need additional help? Use our contact form, call/text 585-310-1740, or email us, for a quick response.