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Form SH-ER/A Filings

SEC Form SH-ER/A is an amendment filing used by institutional investment managers to correct or update a previously submitted weekly Form SH entries report under the SEC’s temporary emergency short sale disclosure requirements.

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What Is SEC Form SH-ER/A?

SEC Form SH-ER/A is an amendment to the weekly Form SH entries report filed by institutional investment managers under the SEC’s emergency short sale disclosure requirements.

This form was used to correct or update a previously filed non-public Form SH-ER covering short sales and short positions in Section 13(f) securities for a covered weekly reporting period.

Form SH-ER/A helped the SEC receive amended short sale data during the limited period when Form SH reporting was in effect. It was filed on a non-public basis through EDGAR and related to managers that exercised investment discretion over accounts holding Section 13(f) securities.

Key elements typically found in SEC Form SH-ER/A include:

  • Name of the reporting manager and amendment designation
  • Reference to the previously filed Form SH-ER being amended
  • Covered the weekly reporting period for the short position data
  • Updated summary page and amended information table entries, as applicable
  • Section 13(f) securities and related short position information are being corrected
  • Confirmation that the filing was submitted electronically on a non-public basis through EDGAR

SEC Form SH-ER/A Filing Deadlines

SEC Form SH-ER/A follows the same general regulatory context as Form SH reporting but is amendment-based rather than tied to a separate fixed filing deadline. These timing details are important to understand how amended weekly short position reports were handled during the emergency reporting period.

Filing Stage Timeline Details
Covered Reporting Period Preceding Sunday-Saturday calendar week The amendment relates to short position data reported for a weekly Form SH reporting period
Form SH-ER/A Filing As needed Filed electronically with the SEC to amend a previously submitted Form SH-ER
Amendment Deadline Not applicable No separate fixed deadline is stated for amendments in the cited Form SH instructions
Public Availability Upon filing The filing was made on a non-public basis through EDGAR during the emergency reporting regime

Key Things to Know About Form SH-ER/A Filing Rules

  • Amendment to Prior Weekly Report: Form SH-ER/A was used only to amend a previously filed Form SH-ER entries report.
  • Emergency Order Context: The filing existed as part of the SEC’s temporary emergency short sale disclosure framework and was not a permanent reporting form.
  • Non-Public Filing Requirement: Form SH reports were required to be filed on a non-public basis and marked NON-PUBLIC on each page of the filing.
  • Section 13(f) Securities Standard Applied: The reporting obligation was tied to short positions in Section 13(f) securities, excluding options positions under the Form SH instructions.
  • Electronic EDGAR Submission: SH-ER/A is recognized by the SEC EDGAR system as the amendment submission type for the weekly Form SH entries report filed by institutional investment managers.

To track such filings, our platform provides tools to search and monitor EDGAR submission activity, including programmatic access through the company filings API. For a step-by-step walkthrough, see the process to download SEC filing data directly from EDGAR

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