Institutional investment manager holdings report (Form 13F)

The facts

Who files

Any institutional investment manager that uses the US mail or another means of interstate commerce in its business and exercises investment discretion over $100 million or more in Section 13(f) securities. This covers banks, insurance companies, broker-dealers, pension funds and corporations that manage their own portfolios, not just SEC-registered investment advisers; a trustee is an institutional investment manager, but a natural person managing only their own account is not. Source

How often

Quarterly, once the $100 million threshold is first met: the initial report covers the quarter in which the threshold was met, with three further quarterly filings for the rest of that calendar year. Source

Deadline

Within 45 days after the end of the relevant calendar quarter (so, for example, by February 14 for the quarter ended December 31). Source

Format

Web form, XML. EDGAR filing has been mandatory for every public Form 13F submission since 1999, and mandatory for Form 13F confidential treatment requests since 28 February 2023. A filer must either use the online form on the EDGAR Filing Website and build the Information Table to the EDGAR XML Technical Specification, or construct the whole filing in that XML format; the free-text ASCII format was discontinued in 2013. Source

How it is filed

Filing routes recorded for the SEC: EDGAR (Electronic Data Gathering, Analysis, and Retrieval); Investment Adviser Registration Depository (IARD) and Private Fund Reporting Depository (PFRD); Central Registration Depository (CRD). See how firms file with the SEC.

Status

In force

Legal basis

• Section 13(f) of the Securities Exchange Act of 1934

Group

Markets and trading

Templates (0)

The library lists no templates for this return.

Form 13F is a cover page plus a single Information Table (issuer name, class of security, CUSIP, number of shares and fair market value for each Section 13(f) security held) rather than a set of named schedules, so no breakdown is given here. Source

Validation rules

The SEC publishes the checks it runs on this return. They could not be counted from the published material. Software can run them exactly as published. Source

How they are written: EDGAR validates every Form 13F submission against the EDGAR XML Technical Specification at filing time; filing instructions are in Chapter 8 of the EDGAR Filer Manual..

No separate, human-readable catalogue of Form 13F business-rule edits (beyond the schema itself) was found on sec.gov.

The rules, on sec.gov

Counts are in the SEC's own unit, so they are not comparable with other regulators' counts.

Public data

Published firm by firm. Form 13F filings are public on EDGAR (searchable by manager or security). A manager may request confidential treatment of part of a report under section 13(f)(4) and rule 24b-2, and information about a natural person's, estate's or trust's personal holdings is never disclosed. Source

Where it is published

• EDGAR Full Text Search

  Firm by firm · Web search; underlying JSON API at efts.sec.gov

  Full-text search of every EDGAR filing's documents and attachments since 2001, including Form 13F, the Form SBSE family, Form 1-K and the Inline XBRL-tagged periodic and current reports covered here. Source

Official documents (2)

The SEC's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

• Form 13F (reference copy)

  Template · PDF · 237.6 KB · 13 February 2026

  Reference copy only, size and hash recorded.

  SHA-256 ba6065b13267show in fullhide

  ba6065b13267d105fd49f7a47eb24962ad4755cd2dee8d445331432ab1e4ed42
• Frequently Asked Questions About Form 13F

  Guidance · HTML · 6 March 2026

  Division staff FAQ; source for the $100 million threshold, the 45-day deadline, mandatory EDGAR filing since 1999 and the 2023 confidential-treatment amendments.

Sources

Every page and document this return's facts were read from.

• sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f
• sec.gov/edgar/search/
• sec.gov/submit-filings/forms-index

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.