Return to Forms List

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

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

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 and resume Large Trader Reporting obligations after its transactions again reach the identifying activity level under the SEC’s large trader framework described in the SEC’s Large Trader Reporting program.

This form is typically used when a large trader previously became inactive because it did not affect aggregate transactions at or above the identifying activity level during a full calendar year, but later resumes trading activity that again meets or exceeds the threshold. In that situation, the large trader must reactivate and again be treated as a large trader for purposes of Rule 13h-1.

Form 13H-R supports the SEC’s ability to monitor significant market participants by ensuring that a large trader’s status is current when its activity level changes. It helps ensure that broker-dealers and regulators have the information needed to identify large trader accounts and maintain related records under the large trader reporting system.

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

  • Name of the large trader and identifying information
  • Large Trader Identification Number (LTID), if previously assigned
  • Updated business and organizational information, as applicable
  • Broker-dealer relationships and accounts through which the large trader affects transactions
  • Designation of the filing type as reactivated status (13H-R)
  • Certification and signature information are required for the submission

SEC Form 13H-R Filing Deadlines

SEC Form 13H-R is an event-driven filing tied to a change in status. It is generally submitted when a previously inactive large trader again reaches the identifying activity level and needs to reactivate its large trader status under Rule 13h-1.

Filing Stage Timeline Details
Status Change Trigger As needed Reactivation is triggered when the large trader’s transactions again meet or exceed the identifying activity level
Form 13H-R Filing Promptly after the status change Filed electronically through EDGAR as a Form 13H variant (Reactivated Status)
Ongoing Updates As needed Subsequent annual or amended updates may be required, depending on the filer’s status and information changes

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

  • Reactivation Is Status-Based: Form 13H-R is used to reflect that a large trader is no longer inactive and must again be treated as a large trader under Rule 13H-1 when activity thresholds are met.
  • Part of the Form 13H System: Form 13H-R is a Form 13H variant used within the large trader reporting framework and is filed through the Form 13H submission process on EDGAR.
  • Event-Driven Timing: Unlike periodic reports with fixed dates, Form 13H-R is filed in response to a status change and is submitted as needed when reactivation is required.
  • May Lead Back to Regular Update Obligations: Once reactivated, a large trader may again become subject to ongoing update requirements, including annual filings and amendments when information becomes inaccurate.
  • Used Alongside Other 13H Variants: The Form 13H framework includes multiple filing types (initial, annual, amended, inactive, reactivated, and termination), and Form 13H-R is specific to reactivated status.

To monitor large trader status filings and related submission activity, our SEC Filing Real-time Alerts helps you track SEC forms like Form 13H-R and Form 13H-R. 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.

From the Blog

View All