What Is SEC Form 13F? SEC form 13F refers to a quarterly financial report that institutional investment managers must file with the Securities and Exchange Commission when their assets under management are $100 million or more during any of the months in the filing quarter. Hence, the SEC can...
SEC Form 13F requires institutional managers with $100 million or more in assets to disclose their holdings. Form 13D is a beneficial owner report that has to be filed when a person or group of persons acquire more than 5% of a voting class of a company's equity securities.18 The Bottom...
Before diving deeper, I want to clarify what a 13F filing is. Each quarter, large investment firms managing over $100 million in assets must submit a 13F filing to the U.S. Securities and Exchange Commission (SEC), disclosing their holdings of U.S. stocks and related assets, such as ETF...
An SEC filing is a type of formal document that is submitted to the SEC. The contents of an SEC filing generally include...
An SEC RW filing is a withdrawal request a company makes after it has filed to have its securities registered with the SEC. The RW filing is used when a company's pending securities registration must be formally withdrawn, either ahead of its approval, or after it has been approved, but ...
Form S-1/A is used for filing amendments to a previously filed Form S-1. Foreign companies may register with the SEC but their filing agent would use the SEC Form F-1 instead. For support and additional information, explore ourCapital Markets Transactions solutions. ...
In a blog posted on April 30, 2024, Cooley discusses the SEC Form N-PX new rule requirements for 13F filers, beginning on July 1, 2024.
Entry into a material agreement; Termination of a material agreement; Termination of a business relationship with a customer; Creation of a direct or contingent financial obligation; Events triggering a direct or contingent financial obligation; Other inclusions....
(NYSE:CNP) by 3.0% during the fourth quarter, raising eyebrows among market watchers. As of its latest Form 13F filing with the SEC, the bank now holds 1,841,100 shares of the utility provider's stock, translating to an investment worth approximately $58.42 million. This adjustment reflects...
With the help of the underwriter, the company files a registration statement with the Securities and Exchange Commission (SEC), which includes its prospectus. The purpose of the filing is to provide detailed information on the company's finances, business model, and growth opportunities. ...