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Form 13H Filings

SEC Form 13H is a required filing used by large traders to identify themselves to the Securities and Exchange Commission (SEC) under Exchange Act Rule 13H-1

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What Is SEC Form 13H?

SEC Form 13H is an important filing required under Rule 13H-1 of the Securities Exchange Act of 1934. It is used by large traders to register with the SEC and provide identifying and organizational information so the SEC can monitor significant trading activity in NMS securities under the Large Trader Reporting rule.

 A person or entity must file Form 13H once they meet the large trader “identifying activity level” thresholds. Once Form 13H is submitted, the SEC assigns a Large Trader Identification Number (LTID), and the large trader must provide that LTID to its broker-dealers and keep the information current through required updates.

Form 13H is intended to provide the SEC with a centralized record of large trader information for supporting market monitoring and enforcement of trading activity rules.

  • Identifying information for the large trader and its business operations
  • Contact information and designated persons responsible for the filing
  • Organizational structure and control persons (including affiliates, as applicable)
  • Broker-dealer information and relationships used for executing trades
  • Large trader status elections (initial, annual, amended, inactive, reactivated, or termination)
  • Representations and certifications required under Rule 13h-1

SEC Form 13H Filing Deadlines

SEC Form 13H includes both event-driven and periodic timing requirements that large traders must follow after reaching the identifying activity level. These deadlines are crucial to ensure regulatory compliance and allow the SEC to maintain accurate large trader records.

Filing Stage Timeline Details
Initial Filing Promptly after becoming a large trader (generally within 10 days) Filed electronically with the SEC to obtain an LTID
Annual Filing Within 45 days after calendar year-end Annual update required for every large trader unless inactive status applies
Amended Filing Promptly following the end of a calendar quarter Required when previously filed information becomes inaccurate during the quarter
Inactive/Termination/Reactivated Status As needed Filed to indicate inactive status, termination, or reactivation based on trading activity or business changes

Key Things to Know About Form 13H Filing Rules

  • Large Trader Thresholds Apply: A person generally becomes a large trader when transactions in NMS securities meet or exceed the identifying activity level set by Rule 13h-1.
  • LTID Assignment and Broker-Dealer Disclosure: After filing, the SEC assigns an LTID, and large traders must provide that LTID to their broker-dealers to support regulatory identification and data collection.
  • Confidential Treatment of Information: Form 13H filings are generally not publicly disseminated in the same manner as most EDGAR filings and are treated as confidential by the SEC.
  • Ongoing Update Obligations: Large traders must file annual updates within 45 days after year-end and file amended updates after quarters in which information becomes inaccurate.
  • Inactive, Reactivated, and Termination Filings Are Event-Driven: Filers may elect inactive status if they no longer meet the identifying activity level, must reactivate if they meet it again, and may terminate if they cease operations or no longer have a filing obligation.

To monitor large trader-related filing status and other regulatory updates, 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 How to download SEC filings using the EDGAR API.

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