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Form 13H-T Filings

SEC Form 13H-T is filed to indicate a termination of a Large Trader’s registration information and related filing status under Exchange Act Rule 13H-1.

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What Is SEC Form 13H-T?

SEC Form 13H-T is a “Termination Filing” submitted by a Large Trader to report that it has ceased operations (including scenarios such as dissolution or certain merger outcomes) and to terminate its Large Trader status reporting on Form 13H. The filing is made through EDGAR using the Form 13H online submission types and is not publicly disseminated because Form 13H submissions contain confidential information.

A Form 13H-T is event-driven and used when the Large Trader expects it will no longer make future Form 13H filings due to the termination circumstance.

Key elements typically found in a Form 13H-T filing include:

  • Large Trader Identification Number (LTID) and identifying information
  • Indication that the submission is a Termination Filing (13H-T)
  • The date on which the Large Trader ceased operations (or the effective date of the termination event)
  • Updated contact and organizational information relevant to the termination circumstance
  • Confirmation details needed to reflect the Large Trader’s terminated status in the Form 13H record

SEC Form 13H-T Filing Deadlines

Filing Stage Typical Timeline Key Condition
The termination event occurs As needed The Large Trader ceases operations or otherwise has a termination circumstance that supports a 13H-T submission.
Form 13H-T submitted As needed The Large Trader files a Termination Filing to indicate it does not expect to file future Form 13H submissions.
Annual/quarterly updates Not applicable After a valid termination filing, periodic 13H update filings are generally not expected for the terminated entity.
Ongoing monitoring As needed Firms may still track related filings and status changes through an EDGAR search workflow

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

  • Termination is Event-Driven: A Form 13H-T is used when the Large Trader has ceased operations (or has an equivalent termination circumstance) and is filing to indicate termination of its Large Trader reporting status.
  • Filed Under Rule 13h-1 Framework: Form 13H-T is one of the Form 13H submission types used to maintain Large Trader registration information under Exchange Act Rule 13h-1.
  • Confidential Submission: Form 13H submissions, including termination filings, are treated as confidential and are not publicly disseminated through EDGAR.
  • Accurate Termination Date Matters: A termination filing should reflect the date the Large Trader ceased operations or the effective date of the termination event (such as an effective merger date for a non-surviving entity).
  • Used in Limited Circumstances: Form 13H-T is typically used for dissolutions, ceased operations, or certain acquisition/merger outcomes where the Large Trader will no longer file ongoing Form 13H updates.

To monitor large trader status changes and related filing activity, our platform provides tools to search and monitor EDGAR submission activity, including programmatic access through the SEC Filings API. For a step-by-step walkthrough, see the process of accessing SEC filings via EDGAR

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