Form 13F-NT/A Filings

What Is SEC Form 13F-NT/A?

SEC Form 13F‑NT/A is an amendment filing required 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 (13F‑NT) when corrections or updates are needed.

This form is typically filed when a manager previously submitted a Form 13F‑NT because its reportable Section 13(f) securities for a quarter were reported by another designated manager, or because the manager had no reportable securities. If errors, omissions, or changes arise, the manager files Form 13F‑NT/A to correct, update, or clarify the information in the notice. The amendment ensures that EDGAR records accurately reflect reporting responsibilities among affiliated or related managers.

Form 13F‑NT/A supports transparency by keeping the notice record accurate and complete. While it updates the notice filing, it does not itself provide a list of holdings; the quarter’s holdings disclosure, when applicable, is made through the corresponding Form 13F‑HR or its amendments.

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

• Name of the institutional investment manager and Central Index Key (CIK)
• Calendar quarter covered by the notice being amended
• Identification of the reporting manager(s) responsible for filing the holdings report for that quarter
• Amendment indicator and updated report type selection, if applicable
• Signature block and authorized signatory information
• Explanation of the change or correction reflected in the amendment (if included in the submission)

SEC Form 13F-NT/A Filing Deadlines

SEC Form 13F‑NT/A is filed within the quarterly Form 13F reporting framework. While Form 13F notices are tied to quarterly reporting periods, amendments are filed as needed when corrections or updates are required — for example, to ensure that the notice record aligns with related filings in the quarter’s public disclosure dataset.

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 quarter. It is used to correct or update notice‑related information, not to provide holdings details.
• Does Not Replace a Holdings Report: Form 13F‑NT/A does not disclose positions. If holdings must be reported for the quarter, they are disclosed through the applicable Form 13F‑HR (or 13F‑HR/A) by the responsible reporting manager.
• Correct Submission Type Matters: Managers must use the proper EDGAR submission type. 13F‑NT/A is specifically for amending a notice filing, distinct from amendments to holdings reports.
• Quarterly Structure Still Applies: Each amendment relates to a specific calendar quarter and fits within the broader Rule 13f‑1 reporting framework for managers meeting the reporting threshold.
• Used for Corrections and Updates: Commonly filed to update reporting manager relationships, filer details, or other notice information, ensuring the quarter’s record is consistent across EDGAR and public data systems.

This form can be retrieved through the SEC’s EDGAR system. For a step-by-step walkthrough, see How to download SEC filings using the EDGAR API.