Form 13H-R Filings
SEC Form 13H-R is a status filing used by large traders to reactivate their registration under the SEC’s Large Trader Reporting system after previously indicating inactive status
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What Is SEC Form 13H-R?
SEC Form 13H-R is a filing made under Exchange Act Rule 13h-1 that allows a Large Trader to reactivate its status after previously becoming inactive. Reactivation is part of the SEC’s Large Trader framework described in its Large Trader Reporting program.
This form is typically used when a Large Trader previously obtained inactive status but subsequently effects aggregate transactions that again equal or exceed the identifying activity level. When that threshold is reached, the trader must file Form 13H-R promptly to reactivate its status. The SEC has stated that, under normal circumstances, filing within 10 days after reaching the identifying activity level is appropriate.
Form 13H-R restores the trader to active status under Rule 13h-1. Upon reactivation, the trader again becomes subject to applicable Form 13H filing requirements and must inform its broker-dealers of its reactivated status.
Researchers reviewing the broader Large Trader framework can also refer to Form 13H, the initial filing used when a person first identifies as a Large Trader and is assigned an LTID. The SEC’s Form 13H framework also includes annual, amended, inactive, reactivated, and termination submission types.
Key elements typically associated with SEC Form 13H-R include:
- Identification of the filing as a Reactivated Status submission
- Large Trader filer identifying information
- Large Trader Identification Number (LTID)
- Date identifying transactions were first effected after inactive status
- Submission contact information
- Authorized person information for the submission
Unlike initial, annual, and quarterly amended Form 13H filings, Form 13H-R does not include the full Items 1–6 covering business, regulatory, organizational, governance, and broker-dealer information. The EDGAR Filer Manual specifically excludes Items 1–6 from 13H-R submissions.
Because Form 13H submissions are processed through EDGAR but are not publicly accessible through the SEC website, public tools such as SEC Filing Real-time Alerts are more appropriately used to monitor other publicly available SEC filings rather than individual Form 13H-R submissions.
SEC Form 13H-R Filing Deadlines
SEC Form 13H-R is event-driven. A Large Trader on inactive status must reactivate when its aggregate transactions again equal or exceed the identifying activity level. The filing must be made promptly after those transactions occur; SEC guidance indicates that, under normal circumstances, a filing made within 10 days is appropriate.
| Filing Stage | Timeline | Details |
| Inactive Status | Not applicable | The Large Trader previously obtained inactive status under the Form 13H framework |
| Status Change Trigger | When the identifying activity level is reached again | Reactivation is triggered when aggregate transactions again equal or exceed the applicable threshold |
| Form 13H-R Filing | Promptly after reaching the threshold | SEC guidance indicates that filing within 10 days is appropriate under normal circumstances |
| Ongoing Reporting | As applicable after reactivation | The Large Trader again becomes subject to applicable Form 13H filing and update requirements |
The SEC also permits a person to elect voluntarily to reactivate before actually reaching the identifying activity level, such as when the person does not want to monitor trading against the threshold continuously.
Researchers building broader workflows around publicly accessible SEC filings can use How to download SEC filings using the EDGAR API for guidance on retrieving public EDGAR data, while recognizing that Form 13H submissions themselves are not publicly available through the SEC website.
Key Things to Know About Form 13H-R Filing Rules
- Reactivation Is Status-Based: Form 13H-R is used when a previously inactive Large Trader again becomes subject to the Large Trader framework after reaching the identifying activity level.
- Prompt Filing Is Required: A required reactivation filing must be submitted promptly after the threshold is reached, with the SEC indicating that within 10 days is appropriate under normal circumstances.
- Form 13H-R Is a Specialized Status Filing: The EDGAR Filer Manual identifies 13H-R specifically as the Reactivated Status submission type and excludes the full Form 13H Items 1–6 from this variant.
- Regular Obligations Resume After Reactivation: Upon filing for Reactivated Status, the trader again becomes subject to Rule 13h-1 filing requirements and must inform its broker-dealers of the reactivation.
- Voluntary Reactivation Is Permitted: A trader may elect to reactivate before reaching the identifying activity level if it prefers not to monitor its trading continuously against the threshold.
For comparison with publicly available investment-company disclosure activity, researchers can separately review mutual fund and ETF filings covering fund registrations, portfolio reporting, shareholder disclosures, and other SEC filing categories.
