- 13F Filing
- A quarterly report filed with the SEC by institutional investment managers with at least $100 million in qualifying assets under management. It discloses their equity holdings as of the end of each quarter.
- Institutional Investment Manager
- An entity that exercises investment discretion over $100 million or more in Section 13(f) securities. This includes hedge funds, mutual funds, pension funds, and insurance companies.
- CUSIP
- A 9-character alphanumeric code that uniquely identifies a security. Used in 13F filings to identify each holding. Stands for Committee on Uniform Securities Identification Procedures.
- Period End Date
- The last day of the calendar quarter for which holdings are reported. 13F filings report positions as of March 31, June 30, September 30, or December 31.
- Filing Deadline
- Institutional managers must file their 13F within 45 days after the end of each calendar quarter. This means mid-February, mid-May, mid-August, and mid-November.
- Amendment (13F-HR/A)
- A revised filing that corrects or supplements a previously filed 13F. Amendments may add positions initially filed confidentially or fix errors in the original filing.
- Confidential Treatment
- SEC allows managers to temporarily withhold certain positions from public 13F filings if disclosure would reveal trading strategy. These positions are disclosed in later amendments.
- Investment Discretion
- The authority to make investment decisions. 13F filings indicate whether discretion is SOLE (manager decides alone), SHARED (with another manager), or OTHER.