Filing Requirements The SEC form 13F is a mandatory document filed by institutional investment managers like broker-dealers, corporations, investment advisors, insurance companies, pension funds, and banks that have a minimum of $100 million AUM. These are the natural people or entities who either ...
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presumably the SEC enforcement staff was considering making additional claims against Musk related to his disclosures on Schedule 13G and Schedule 13D. However, the timing of the filing of this complaint — nearly
Name of Person Filing This Schedule 13G is jointly filed by Macquarie Group Limited, Macquarie Management Holdings Inc and Macquarie Investment Management Business Trust (b) Address of Principal Business Office or, if none, Residence The principal business address of Macquarie Group Limited is 50 Ma...
☐ Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. (1...
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Reporting persons may comply with their cover page filing requirements by filing either completed copies of the blank forms available from the Commission, printed or typed facsimiles, or computer printed facsimiles, provided the documents filed have identical formats to the forms prescribed in the Com...
. Most managers submit their 13Fs as late as possible because they do not want to tip off rivals to what they are doing. By the time other investors get their hands on those 13Fs, they are looking at stock purchases that may have been made more than four months prior to the filing....
Quarterly Filing Requirements Simplified Over 120 investment managers trust Newsfile to prepare and file their holdings reports on Form 13F accurately and on time. Simply complete our Form 13F Excel template, define your filtering options, and Newsfile will prepare and file the Form 13F on your be...
As of their respective filing or furnishing dates, the SEC Documents complied in all material respects with the requirements of the Sarbanes-Oxley Act of 2002, the Securities Act or the Exchange Act, as the case may be, and the rules and regulations promulgated thereunder, as applicable, to ...