Form 13F
Form 13F is filed by institutional investment managers with at least $100 million in assets. This report is filed quarterly and discloses all long holdings of the security's investment manager's portfolio. The filings are not required to disclose any short positions. This form should be filed within 45 days of the end of a calendar quarter.
There are three types of 13F form:
- 13F Holdings Report (13F-HR): When all the securities are within the report.
- 13F Notice (13F-NT): When none of the securities are within the filer's report but are within someone else's report.
- 13F Combination Report (13F-HR): When there is a combination of securities which are within the filer's report and in the report of other filers.
For each holding in the portfolio, the manager must report the issuer name, description of class, number of shares owned, and the fair market value of the security. The holdings should be in alphabetical order based on the issuer name.
More information on filing: link
Schedule 13D
Schedule 13D (known as beneficial ownership report) is required when a person or group acquires 5% or more of a voting class of an equity security. It must be filed within 10 days of the transaction. The schedule is filed with the SEC and is provided to the company that issued the securities and each exchange where the security is traded.
Each time the beneficial owner's holdings change by 1% or more, amendment to the original Schedule 13D should be filed within 2 days.
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