Form 13F-NT/A Filings

What Is SEC Form 13F-NT/A?

SEC Form 13F-NT/A is an amendment filing under Section 13(f) of the Securities Exchange Act of 1934 and Rule 13f-1. It is used by institutional investment managers to amend a previously submitted Form 13F Notice when corrections or updates are needed. The SEC identifies 13F-NT/A as the EDGAR submission type used specifically for amendments to Form 13F Notice reports.

This form is typically filed when a manager previously submitted a Form 13F-NT because no holdings were reported directly in that notice and all applicable holdings were reported by one or more other reporting managers. If information in that notice later needs to be corrected or updated, Form 13F-NT/A allows the manager to amend the filing and ensure EDGAR records accurately reflect the reporting arrangement.

Form 13F-NT/A supports transparency by keeping the notice record accurate and complete. While it updates a notice filing, it does not itself contain the holdings information table. The applicable holdings are reported through the responsible manager’s Form 13F-HR or an amendment to that holdings report.

Key Elements Typically Found in SEC Form 13F-NT/A

• Name of the institutional investment manager and identifying information
• Calendar quarter covered by the notice being amended
• Identification of the other reporting manager or managers
• Amendment indicator and amendment number
• Updated or corrected notice information
• Signature block and authorized signatory information

Researchers comparing a notice amendment with the original submission can review Form 13F-NT to understand the reporting arrangement disclosed before the amendment.

SEC Form 13F-NT/A Filing Deadlines

SEC Form 13F-NT/A operates within the quarterly Form 13F reporting framework. The underlying Form 13F reporting obligation follows the quarterly schedule, while an amendment is filed as needed when information in a previously submitted notice requires correction or revision.

If corrections instead concern the holdings report itself, researchers may encounter Form 13F-HR/A, which is the amendment submission type for a Form 13F Holdings Report rather than a Form 13F Notice.

Key Things to Know About Form 13F-NT/A Filing Rules

• Amendments Are Notice-Specific: A 13F-NT/A amends a previously filed Form 13F-NT for a specific reporting period. It corrects or updates notice-related information rather than providing a holdings information table.
• Does Not Replace a Holdings Report: Form 13F-NT/A does not disclose the manager’s holdings directly. Applicable holdings are reported by the other reporting manager or managers identified in the notice.
• Correct Submission Type Matters: The SEC identifies 13F-NT/A as the amendment submission type for a Form 13F Notice, while 13F-HR/A is used to amend Holdings Reports or Combination Reports.
• Quarterly Structure Still Applies: The amendment relates to a Form 13F notice associated with a specific calendar-quarter reporting period.
• Used for Corrections and Updates: Form 13F-NT/A keeps the manager’s notice information and reporting-manager relationships accurate in the public filing record.

Researchers who need to retrieve the original notice, amendment, or related holdings reports can follow How to download SEC filings using the EDGAR API for a step-by-step filing retrieval workflow.

For broader investment-related research, Mutual Fund and ETF Filings can also provide additional context on fund registrations, portfolio disclosures, shareholder reports, and other SEC filing activity.