Form 13F-HR Filings

What Is SEC Form 13F-HR?

SEC Form 13F-HR is a quarterly report filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934 and Rule 13f-1. It is used to disclose certain long positions in Section 13(f) securities, and the SEC provides guidance on how the report is prepared and filed.

This form is typically filed by managers who exercise investment discretion over $100 million or more in Section 13(f) securities. It covers reportable holdings as of the end of each calendar quarter and is submitted electronically through EDGAR within the required timeframe.

Form 13F-HR supports market transparency by making certain institutional equity holdings publicly available. The filing focuses on specified reportable securities and does not constitute a complete disclosure of the manager's portfolio across all asset classes or of any positions that may be held.

Analysts comparing institutional holdings with other investment-fund disclosures may also review Mutual Fund and ETF Filings to understand how different types of funds and investment entities report regulatory information through SEC filings.

Key elements typically found in SEC Form 13F-HR include:

• Name of the institutional investment manager and identifying information
• Reporting period end date and filing information
• Summary information for the report, including totals and counts
• Information table listing each reportable Section 13(f) security and the manager’s holdings
• Investment discretion and voting authority details for reported holdings

Researchers working with large volumes of institutional holdings data can use the SEC Filings API to access SEC filing information programmatically and incorporate Form 13F-HR submissions into automated research or monitoring workflows.

SEC Form 13F-HR Filing Deadlines

SEC Form 13F-HR has specific timing requirements that managers must follow after each calendar quarter ends. These deadlines help ensure consistent reporting.

Key Things to Know About Form 13F-HR Filing Rules

• Who Must File: Institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities are required to file Form 13F.
• Quarterly Filing Requirement: Form 13F-HR must be filed for each calendar quarter and submitted within 45 days after the end of the quarter.
• Reportable Securities Scope: The filing covers holdings in Section 13(f) securities and requires position-level disclosure for each reportable security as of quarter-end.
• Electronic Submission Format: Form 13F-HR is filed through EDGAR and includes an information table that is submitted in a structured format consistent with SEC filing requirements.
• Related Filing Types May Apply: Depending on a manager’s reporting situation, other Form 13F variants and amendments may be relevant, and managers can refer to a broader list of SEC forms when identifying related filing types and descriptions.

For researchers who need to retrieve historical filings or build their own datasets, How to download SEC filings using the EDGAR API provides a step-by-step approach to accessing filings and related submission data.