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Form SH-NT/A Filings

SEC Form SH-NT/A is an amended notice filing associated with Form SH short sale reporting under the Securities Exchange Act of 1934. Institutional investment managers used it to amend a previously filed notice stating that one or more other managers were reporting all required Form SH information for that manager.

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What Is SEC Form SH-NT/A?

SEC Form SH-NT/A is an amendment to a Weekly Form SH Notice Report filed by an institutional investment manager. It was used during the temporary Form SH reporting regime when a manager needed to amend a prior notice filing that relied on another manager to report the required short-sale information, helping to avoid duplicative reporting under the SEC’s emergency order framework.

This form was typically relevant when two or more institutional investment managers exercised investment discretion over the same accounts and one manager reported the Form SH information on behalf of another. An SH-NT/A filing updated or corrected the original notice filing rather than reporting the short position data itself.

Form SH-NT/A supported the administrative process for correcting an earlier notice filing under Form SH. Because it amended a notice rather than serving as the substantive short position report, it functioned as an event-driven filing used as needed within the now-historical Form SH framework.

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

  • Name of the institutional investment manager
  • Identification of the amended notice filing
  • Reference to the manager or managers reporting the required Form SH information
  • Confirmation that the filing is an amendment to a prior notice report
  • Submission through the SEC’s EDGAR system
  • Association with the temporary Form SH short sale reporting regime

SEC Form SH-NT/A Filing Deadlines

SEC Form SH-NT/A does not have a standalone fixed filing deadline in the same way the original weekly Form SH filing did. As an amendment filing, it was generally submitted as needed to correct or update a previously filed Form SH notice report.

Filing Stage Timeline Details
Need for Amendment Identified As needed The filer determines that a previously submitted Form SH notice report requires correction or revision
Form SH-NT/A Filing As needed Filed electronically with the SEC as an amendment to an earlier SH-NT submission
Amendment Effect Not applicable The filing updates the prior notice report rather than creating a separate weekly reporting obligation
Fixed Statutory Deadline Not applicable No separate fixed amendment deadline is specified for SH-NT/A in the Form SH instructions or EDGAR submission type description

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

  • Amendment to Notice Filing: Form SH-NT/A was used to amend a previously filed SH-NT notice report rather than to disclose short position data directly.
  • Used for Duplicative Reporting Situations: The filing related to circumstances where another institutional investment manager reported the required Form SH information on the filer’s behalf.
  • Part of a Temporary Reporting Regime: Form SH filings were created under an emergency short sale reporting framework and were non-public filings during that temporary period.
  • Filed Electronically on EDGAR: Like other Form SH variants, SH-NT/A was submitted through the SEC’s EDGAR system using the designated submission type.
  • Event-Driven Rather Than Fixed-Date: Because SH-NT/A is an amendment filing, it was generally used only when a previously submitted notice needed revision or correction. Historical monitoring of related reporting categories, including insider transactions and trading, may help place this filing in a broader disclosure context.

Our platform tracks short sale emergency filings such as Form SH‑NT/At ogether with Form SH, Form SH‑NT, Form SH‑ER, and Form SH‑ER/A; this cluster captures original reporting, temporary non‑EDGAR submissions, electronic filings, and amendments for crisis‑era short sale oversight.

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