Return to Forms List

Form 13H-Q Filings

SEC Form 13H-Q is an amendment filing used by registered large traders to update previously submitted Form 13H information when it becomes inaccurate during a calendar quarter

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
No Data Found

What Is SEC Form 13H-Q?

SEC Form 13H-Q is an amended filing submitted under Exchange Act Rule 13H-1 and the SEC’s Large Trader reporting framework described in the Large Trader Reporting overview. It is used by large traders to update or correct information previously provided to the SEC on Form 13H when that information becomes inaccurate for any reason.

Form 13H-Q is typically filed after changes such as updates to a large trader’s contact information, organizational structure, broker-dealer relationships, affiliates, or other reportable details included in the most recent Form 13H submission. The amended filing helps ensure that the SEC’s confidential large trader records remain current for regulatory monitoring and market oversight.

Form 13H-Q does not replace the annual Form 13H update requirement. Large traders must still make an annual filing each year, and they must make quarterly amendments when required. For additional context on the underlying registration filing.

Key elements typically found in SEC Form 13H-Q include:

  • Large trader identifying information and contact details
  • Organizational information and affiliate relationships
  • Broker-dealer account relationships and designations
  • Updates to control persons and reporting structure
  • Other amended disclosures that correct or update prior Form 13H information

SEC Form 13H-Q Filing Deadlines

SEC Form 13H-Q is event-driven and must be filed when information in a prior Form 13H filing becomes inaccurate. These deadlines are crucial to ensure regulatory compliance and maintain accurate large trader records.

Filing Stage Timeline Details
Initial Form 13H Filing Promptly after meeting the identifying activity level (generally within 10 calendar days) Establishes large trader registration and results in the assignment of an LTID
Form 13H-Q (Quarterly Amended Filing) Promptly following the end of the calendar quarter in which information became inaccurate (commonly within 10 calendar days after quarter-end) Updates or corrects previously filed Form 13H information when changes occur
Annual Form 13H-A Filing Within 45 days after the end of each full calendar year Provides the required annual update for active large traders
Inactive or Termination Filing As needed Filed to indicate inactive status or termination of large trader filing obligations

Key Things to Know About Form 13H-Q Filing Rules

  • Amendments Are Change-Driven: A large trader must file Form 13H-Q when any information in its most recent Form 13H filing becomes inaccurate, and the amendment is submitted quarterly based on when the information changed.
  • Form 13H-Q Does Not Replace the Annual Update: Large traders must still complete the annual update.
  • Form 13H Filings Are Confidential: Form 13H submissions, including amendments, are not public filings and are maintained by the SEC for regulatory and market oversight purposes.
  • LTID and Broker-Dealer Information Must Stay Current: Updates to broker-dealer relationships, account designations, and identifying details are common triggers for a quarterly amendment, since these details support the SEC’s ability to request large trader activity data from broker-dealers.
  • Annual and Fourth-Quarter Amendment Timing Can Overlap: In certain circumstances, an annual filing may also be designated to satisfy the fourth-quarter amended filing requirement, as long as it is submitted within the period permitted for the quarter-end amendment.

To monitor large trader amendments and related filing activity, our SEC Filing Realtime Alerts helps you track key submissions such as Form 13H-Q filings, Form 13H, and annual Form 13H-A updates, ensuring you stay informed about changes to large trader registration information. Visit How to Search EDGAR Filings to know more about tracking SEC filings & insight.

From the Blog

View All