Sec Faqs 13f

33-9109 and 34-61578, Commission Statement in Support of Convergence and Global Accounting Standards. The official list of Section 13(f) Securities published by the Commission (the "13F List") lists the securities the holdings of which a Manager is to report on Form 13F. FAQ guide for whalewisdom. 25-NSE Notification filed by National Security Exchange to report the removal from listing and registration of matured, redeemed or retired securities Initial Filing Amendments Jun 30, 2015 4 Statement of Changes in Beneficial Ownership Jun 30, 2015. SEC Updates Form 13F FAQs - Solutions Atlantic | On Mar. I have a downloadable temperature conversion program available. SEC Filings 2019 2018 2017 2016 2015 13F-HR/A Form 13F Holdings Report Dec 01, 2016. The Investor Relations website contains information about The Dow Chemical Company - IR site's business for stockholders, potential investors, and financial analysts. It discloses their U. Save time and frustration with accurate Form 13F Data Extracts. He thinks most currency devaluations are bullish. This asset is inappropriate for this site This asset may affect Operational Security. 13f-1] thereunder. Schedule 13G is an SEC form similar to the Schedule 13D used to report a party's ownership of stock that is over 5% of the company. Primary Withholding Agent's Name (if applicable) 14b. What You Can Do To Avoid Investment Fraud. After submitting your request, you will receive an activation email to the requested email address. Jennifer Childe Vice President, Investor Relations (317) 817-2893 Email Jennifer. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment discretion over $100 million or more in Section 13(f) securities (explained below) must report its holdings on Form 13F with the. NEW: SEC Form 13F is now an XML filing. : SunTrust Bank, our commercial bank, which provides banking, trust and asset management services; SunTrust Investment Services, Inc. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005. By continuing to use Pastebin, you agree to our use of cookies as described in the Cookies Policy. Funds must submit their list of qualifying 13F securities no more than 45 days after the end of quarter date. A large trader shall not be required to separately comply with the requirements of this paragraph (b) if one or more persons controlled by such large trader collectively comply with all of the requirements under paragraphs (b)(1), (b)(2), and (b)(4) of this section applicable to such large trader with respect to all of its accounts. The reader should not assume that the information is accurate and complete. Their last reported 13F filing for Q2 2019 included $19,829,496,000 in managed 13F securities and a top 10 holdings concentration of 98. Section 13(f) and Rule 13f-1 of the Securities Exchange Act of 1934 require certain institutional investment managers exercising investment discretion over accounts having an aggregate fair market value of $100 million or more in certain securities specified as “13(f) securities” by the Securities and Exchange Commission (“SEC”) at the end of any trading month to report these holdings to the SEC on Form 13F. Abstract: Registrant reported that on March 22, it issued $500 million principal amount of 3. Schedule 13G is an alternative SEC filing for the 13D which must be filed by anyone who acquires ownership in a public company of more than 5% of the outstanding stock. 13F-HR Form 13F Holdings Report May 10, 2019 424B5 Prospectus filed pursuant to Rule 424(b)(5) May 08, 2019 FWP Free Writing Prospectus - Filing under Securities Act Rules 163/433 May 07, 2019. The Form 13F report requires disclosure of the name of the institutional investment manager that files the report, and, with respect to each section 13(f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. 15, the SEC updated the Filing Dates for Form 13F. FISTers in Army's 1st SFAB encourage 13Fs to volunteer Issue: This asset is copyrighted. Bill & Melinda Gates Foundation Trust is based out of Kirkland. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994. I already have the 13F rule running so why do I have to re-approve the 13F Eligibility rule? A. Downloads of Section 13(f) Securities come in Excel friendly CSV and XLS formats for easy analysis. Alibaba Group will provide a hard copy of its annual report containing the audited consolidated financial statements, free of charge, to its shareholders and ADS holders upon request. This website will allow you to create a Form ID and submit it for authorization to the SEC. Avisen Securities is a full-service investment securities firm founded on exceptional client service, personalized investment advice and independent research. What is the 'SEC Form 13F'. We have created a Form 13 Online Workstation (www. Form 13F is a filing that all institutional investors who manage over $100 million in assets must submit to the SEC no later than 45 days after the end of the March, June, September, and December quarters. 13d-102) pursuant to paragraph (b) of this section, or has become obligated to report on the Schedule 13G (§ 240. Form 13F is the reporting form filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934. (KR) covering Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year and Financial Statements and Exhibits. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment discretion over $100 million or more in Section 13(f) securities (explained below) must report its holdings on Form 13F with the Securities and Exchange Commission (SEC). You can learn more about Form 13F filings and the applicable statutory and regulatory provisions, as well as obtain a copy of the Form and instructions and the Official List of Section 13(f) Securities, by accessing Frequently Asked Questions About Form 13F prepared by the SEC's Division of Investment Management. EDGAR Filing Services Bureau. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005. FREQUENTLY ASKED QUESTIONS ABOUT SUSPENDING/TERMINATING REPORTING OBLIGATIONS What are the ways in which an issuer can enter the registration and reporting system under the Securities Exchange Act of 1934 (the "Exchange Act")? There are several ways in which an issuer can become. **** Please contact us if you have any questions or would like to start a hedge. Their last reported 13F filing for Q2 2019 included $19,829,496,000 in managed 13F securities and a top 10 holdings concentration of 98. Thomson 13F ownership is available from the first quarter of 1980 and represent an indispensable source of historical institutional ownership data. As part of the SEC's Division of Investment Management Form 13F FAQ guide, the SEC staff notes: An institutional investment manager is also a natural person or an entity that exercises investment discretion over the account of any other natural person or entity. It discloses their U. Upon acceptance, you will receive a unique CIK via e-mail. Schedule 13F Schedule 13G SEC Comment Process SEC Enforcement SEC Memories SEC Filing Fees Secondary Offerings Section 12(g) SEC's FAQs: Resource Extraction (5/13). Recipient's date of birth (YYYYMMDD) 14a. Fast turnarounds, quality conversions, and friendly service have made us the preferred choice of North American securities lawyers and public companies. Displays last 100 13f filings imported from Edgars WhaleWisdom Search All Search 13F Filers Only Search SEC Filer Search Stocks Only Search Mgmt Inv. The skills and knowledge you acquire may help you transition from the military to the civilian work force. These codes are created and provided when a company or insider registers with the SEC as an EDGAR filer. Only securities of a class on such list shall be counted in determining whether an institutional investment manager must file a report under this rule (§ 240. sec-edgar-downloader is a Python package for downloading company filings from the SEC EDGAR database. Current List (third quarter 2019). The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule. Gallagher & Co. be required to file acquisition and ownership reports with the Securities and Exchange Commission (the "SEC") in certain circumstances. Schedule 13F Schedule 13G SEC Comment Process SEC Enforcement SEC Memories SEC Filing Fees Secondary Offerings Section 12(g) SEC's FAQs: Resource Extraction (5/13). or any bank or affiliate, are NOT insured by the FDIC or any agency of the United States, and involve INVESTMENT RISK, including POSSIBLE LOSS OF VALUE. The CSA protects Canadian investors from unfair, improper, or fraudulent practices and fosters fair and efficient capital markets. Hi, I am looking for example code for parsing SEC 13D, 13F, and 13G forms. 000% senior note, and the opinion and consent of David Weiser, were included by exhibit. We are the leader in compiling and submitting the Form 13F Reports to EDGAR. SEC Form 13F is a quarterly report that is filed by institutional investment managers with at least $100 million in equity assets under management. Welcome to WRDS! Wharton Research Data Services (WRDS) is the award-winning research platform and business intelligence tool for over 40,000+ corporate, academic, government and nonprofit clients at over 400+ institutions in 30+ countries. the securities holding represents a risk arbitrage position open on the last day of the period for which the Form 13F report is iled; and ii. Funds must submit their list of qualifying 13F securities no more than 45 days after the end of quarter date. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005. 8963, inclusive. The skills and knowledge you acquire may help you transition from the military to the civilian work force. Cos Only ETFs Only Search Active. be required to file acquisition and ownership reports with the Securities and Exchange Commission (the “SEC”) in certain circumstances. Form 13F and its amendments are the reporting forms filed by institutional investment managers, pursuant to Section 13(f) of the Securities Exchange Act of 1934 and the basis of the dataset. FREQUENTLY ASKED QUESTIONS ABOUT RULE 144A Understanding Rule 144A What is Rule 144A? Rule 144A is a safe harbor exemption from the registration requirements of Section 5 of the Securities Act for certain offers and sales of qualifying securities by certain persons other than the issuer of the securities. Keywords: trade secret, due process, hedge fund, phillip goldstein, 13F, disclosure, SEC. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005. Cos Only ETFs Only Search Active. Abstract: 8-K filed by Kroger Co. WRDS provides the user with one location to access over 250 terabytes of data across multiple disciplines. View 13F filing holders of Sea Ltd ADR. The firm offers clients an expansive array of quality investment products and services including private client services, corporate and institutional services, wealth management planning. Frequently Asked Questions (FAQs) From time to time, the staff at the SEC will release responses to "Frequently Asked Questions" concerning SEC laws and regulations. Regulation 14E applies to cash tender offers, as well as exchange offers subject to the tender offer requirements. Some of most frequently used equity ownership data is from the SEC 13F filings. Their last reported 13F filing for Q2 2019 included $19,829,496,000 in managed 13F securities and a top 10 holdings concentration of 98. What You Can Do To Avoid Investment Fraud. When filing a Form D, how do I find out what each state's fees or other filing requirements are? Each state has different fees and/or filing requirements. “I have found Hidden Value Stocks to be a valuable publication at uncovering unknown investments and unknown managers, and I look forward to reading the publication each quarter. A crucial member of the artillery battlefield team. The form of 3. Official website of the Commonwealth of Massachusetts. «« Did you miss your EDGAR filing deadline? Check the calendar. The CSA protects Canadian investors from unfair, improper, or fraudulent practices and fosters fair and efficient capital markets. the securities holding represents a risk arbitrage position open on the last day of the period for which the Form 13F report is iled; and ii. SEC Filings Thomson Reuters Corporation is a Canadian company that has common shares listed on the Toronto Stock Exchange (TSX) and the New York Stock Exchange (NYSE). The section 13(f) of the Securities Exchange Act of 1975 requires all institutions with investment discretion over $100 million or more to file a form 13f with the SEC at the end of each calendar quarter (see question 28 of SEC 13F's FAQ for more information). You hook up your static line. Keywords: trade secret, due process, hedge fund, phillip goldstein, 13F, disclosure, SEC. (KR) covering Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year and Financial Statements and Exhibits. Wharton Research Data Services taps the most comprehensive sources of financial, accounting, economic, management, marketing, banking, and insurance data. We aren't done yet, as we can now apply a filter (see SEC FAQ #39) on what is reportable. We are writing to our venture capital and private equity fund clients to remind you that the annual deadline for filing certain initial Schedules 13G, an amendment to a previously filed Schedule 13G, an initial Schedule 13F filing, and an annual update to a previously filed Form 13H with the Securities and Exchange Commission (the "SEC") for the year ended December 31, 2017 is Wednesday. (BLK) covering Results of Operations and Financial Condition and Financial Statements and Exhibits. SEC 13F Holdings Report and US Securities Exchange Act According to Section 13(f) of the US Securities Exchange Act of 1934, all big institutional investment managers who exercise investment discretion over $100 million are obliged to file a quarterly form in which they disclose all their portfolio holdings to the SEC. Nothing contained on this website should be considered a solicitation to buy or an offer to sell shares of any of the Weitz Funds in any jurisdiction where such solicitation or offer would be unlawful under the securities laws of such jurisdiction. Official website of the Commonwealth of Massachusetts. 13f-1] under Section 13 (f) of the Securities Exchange Act of 1934. The Securities and Exchange Commision (SEC) provides answers to FAQs to help money managers that are required to file Form 13F. Jennifer Childe Vice President, Investor Relations (317) 817-2893 Email Jennifer. Joint Fire Support Specialist. It discloses their U. Adher to all SEC/EDGAR requirements and XML specifications. (4) A person engaged in business as an underwriter of securities who acquires securities through his participation in good faith in a firm commitment underwriting registered under the Securities Act of 1933 shall not be deemed to be the beneficial owner of such securities until the expiration of forty days after the date of such acquisition. Bill & Melinda Gates Foundation Trust's largest holding is Berkshire Hathaway Inc Class B with shares held of 47,078,974. These reports, which are required by Section 13 of the Exchange Act, may be filed on Schedule 13D, Schedule 13G, Form 13F, and/or Schedule 13H, each of which are discussed in more detail below. SEC Filings Date 13F-NT: 13F-NT Board of Directors Contact Information Corporate Governance Financial Information Proxy Materials SEC Filings Shareholder FAQ. Form 13F Securities Subscription Service: Completely searchable and customizable MS Excel and CSV files of the Official List of Form 13F Securities available for download. 13F Holdings Report Initial Filing. (4) A person engaged in business as an underwriter of securities who acquires securities through his participation in good faith in a firm commitment underwriting registered under the Securities Act of 1933 shall not be deemed to be the beneficial owner of such securities until the expiration of forty days after the date of such acquisition. Upon acceptance, you will receive a unique CIK via e-mail. Form 13F Reporting Requirements. See rule 13f-1(c) [17 CFR 240. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005. These FAQs do not have the authority of law, and they are not the same as statements made by the Commission. sec 13f ownership holding, doawload on bloomberg Hi, I work with fund-of-funds, and want to automate how we get our 13F (the SEC form which funds have to file stating their long holdings in US Equity related securities) data. SEC & other filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994. Through parsing of the SEC 13F Holdings data reported in XML attachments, you can access details on holdings as well as well as summary information of equity positions held by institutional investors. You can learn more about Form 13F filings and the applicable statutory and regulatory provisions, as well as obtain a copy of the Form and instructions and the Official List of Section 13(f) Securities, by accessing Frequently Asked Questions About Form 13F prepared by the SEC's Division of Investment Management. The investor relations site ("Site") with which this document is associated is maintained by S&P Global Market Intelligence ("S&P") on behalf of the organization featured on the Site (S&P's "Client"). Form 13F—Reports Filed by Institutional Investment Managers. [The SEC] believe[s] that investors will find Form 13F report information useful in tracking institutional investor holdings in their investments and that issuers, too, will find detail as to institutional investor holdings useful because much of their shareholder list may reflect holdings in ‘street name’ rather than beneficial ownership. iBillionaire gets all of its information from public records filed with the Securities and Exchange Commission (SEC) – namely, forms and schedules 13F, 13D and 4. 000% senior notes due 2022. SEC EDGAR Filing Services and Registered EDGAR Filing Agent - Form 13-F - Holdings Report filing edgar-services. GFO Advisory Services, LLC is a SEC registered investment adviser that provides investment advisory services to a group of private investment funds and other non-investment advisory services to affiliates. This multiple terabyte data set provides researchers with a direct measure of demand for financial reports, but the log files must be filtered to remove downloads by. Form 13F filers may rely on the current 13F List in determining whether they need to report any particular securities holding. In addition, Regulation 14E applies to both third-party tender offers as well as issuer tender offers. Investment Advisers Compliance "To Do" list for 2017 SEC Regulatory Deadlines for Investment Advisers January 16, 2017 By: Jaqueline M. The form of 3. If you have a question or need help, reach out to us. Recipient's GIIN. The page also provides a quick overview of Section 13(d), 13(g) and 13(h). The changes are designed to enhance the SEC’s understanding of investment advisers and aid the SEC in its risk-based examination program. 13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240. Schedule 13G is an SEC form similar to the Schedule 13D used to report a party's ownership of stock that is over 5% of the company. Which institutional investors are buying and selling shares of Infinera (NASDAQ:INFN) stock? View the most recent institutional ownership activity and 13F transactions for INFN stock at MarketBeat. Section 13F: Indecent assault and battery on a person with an intellectual disability; assault and battery. The 13G filing is considered a more passive version of the 13D and has fewer reporting requirements than the 13D. The disclosure was intended to increase investor confidence in the integrity of the United States securities markets and would be useful information to regulatory bodies. Download the lists of data you need to file quarterly reports to the United States Securities & Exchange Commission (SEC). does not maintain or provide information directly to this site. A large trader shall not be required to separately comply with the requirements of this paragraph (b) if one or more persons controlled by such large trader collectively comply with all of the requirements under paragraphs (b)(1), (b)(2), and (b)(4) of this section applicable to such large trader with respect to all of its accounts. What You Can Do To Avoid Investment Fraud. 13F filings are submitted quarterly to the SEC by hedge funds and other investment managers WhaleWisdom Search All Search 13F Filers Only Search SEC Filer Search Stocks Only Search Mgmt Inv. 1 to its registration statement to file additional information in connection with its offer to exchange up to $40 million of registered 4. equity holdings to the. Electronic messages, whether authorized or unauthorized, constitutes consent to the retrieval and disclosure of information stored within the system, including information stored locally on the hard drive or other media in use with this unit (e. If a filing is submitted after 5:30 p. Abstract: On Sept. SEC Rule 204A-1 requires a SEC registered investment adviser's code of ethics to set forth the standards of business conduct expected of the investment adviser's "supervised persons" and it must address personal securities trading ("PST") by such individuals. or any bank or affiliate, are NOT insured by the FDIC or any agency of the United States, and involve INVESTMENT RISK, including POSSIBLE LOSS OF VALUE. Our service includes consolidate your securities list for qualifying 13F securities. How quickly does EDGAR ® Online receive filings? EDGAR ® Online is a Level One subscriber to the SEC filing database. 2634 (August 15, 2007) announcing its settlement with Quattro Global Capital, LLC , a registered investment adviser to a group of hedge. Eastern Time, weekdays, excluding Federal Holidays. SEC EDGAR Filing Services and Registered EDGAR Filing Agent - Form 13-F - Holdings Report filing edgar-services. The firm offers clients an expansive array of quality investment products and services including private client services, corporate and institutional services, wealth management planning. I have a downloadable temperature conversion program available. Their last reported 13F filing for Q2 2019 included $19,829,496,000 in managed 13F securities and a top 10 holdings concentration of 98. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment discretion over $100 million or more in Section 13(f) securities (explained below) must report its holdings on Form 13F with the Securities and Exchange Commission (SEC). Abstract: 8-K filed by BlackRock Inc. Streamline the process of compiling an EDGAR formatted report. On February 24, 2010, the SEC issued release Nos. Congress passed Section 13(f) of the Securities Exchange Act in 1975 in order to increase the public availability of information regarding the securities. to 10:00 p. SEC Updates Form 13F FAQs On Mar. The page also provides a quick overview of Section 13(d), 13(g) and 13(h). Institutional ownership 13F form downloads from SEC and Bloomberg Hi, I work with fund-of-funds, and want to automate how we get our 13F (the SEC form which funds have to file stating their long holdings in US Equity related securities) data. Jennifer Childe Vice President, Investor Relations (317) 817-2893 Email Jennifer. Form 13H - Large Trader Reporting Requirement Rule 13h-1 Adopted by SEC Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information regarding their trading activities to the SEC through a New Form 13H. In addition, Regulation 14E applies to both third-party tender offers as well as issuer tender offers. In going public transactions, a company can register a class of securities and thereby become subject to the SEC's reporting requirements by filing a Form 10 Registration Statement or Form 8-A registration statement under Section 12 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). 000% senior notes due 2022. Through parsing of the SEC 13F Holdings data reported in XML attachments, you can access details on holdings as well as well as summary information of equity positions held by institutional investors. 11-K: 11-K: 6/21/2019. These FAQs represent the staff's views. Investment advisory services are offered by SunTrust Advisory Services, Inc. It discloses their U. Form 13F is a required reporting form for institutional investment managers to increase public availability of securities holdings. Current List (third quarter 2019). It is part of the SEC's EDGAR system. FREQUENTLY ASKED QUESTIONS ABOUT SUSPENDING/TERMINATING REPORTING OBLIGATIONS What are the ways in which an issuer can enter the registration and reporting system under the Securities Exchange Act of 1934 (the “Exchange Act”)? There are several ways in which an issuer can become. or any bank or affiliate, are NOT insured by the FDIC or any agency of the United States, and involve INVESTMENT RISK, including POSSIBLE LOSS OF VALUE. Also offered is a searchable official list of 13F securities, in both Excel and CSV versions, for use in preparing 13F Information tables. Latest SEC Filings SEC filings are financial statements and other formal documents submitted to the U. Eastern Time, it will not be deemed filed with the SEC until the following business day (except for filings made pursuant to Rule 462(b) and Section 16 filings, which will receive the date o f the actual filing). Official website of the Commonwealth of Massachusetts. By continuing to use Pastebin, you agree to our use of cookies as described in the Cookies Policy. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997. 7 million offered through its 2019 equity incentive plan. This website will allow you to create a Form ID and submit it for authorization to the SEC. Which institutional investors are buying and selling shares of Superior Group of Companies (NASDAQ:SGC) stock? View the most recent institutional ownership activity and 13F transactions for SGC stock at MarketBeat. After submitting your request, you will receive an activation email to the requested email address. This multiple terabyte data set provides researchers with a direct measure of demand for financial reports, but the log files must be filtered to remove downloads by. be required to file acquisition and ownership reports with the Securities and Exchange Commission (the "SEC") in certain circumstances. An updated list is published on a quarterly basis. Submit a professional looking document according to EDGAR instructions. Common Questions About Schedule 13D and 13G Filing Requirements For Public Companies. We are writing to our venture capital and private equity fund clients to remind you that the annual deadline for filing certain initial Schedules 13G, an amendment to a previously filed Schedule 13G, an initial Schedule 13F filing, and an annual update to a previously filed Form 13H with the Securities and Exchange Commission (the “SEC”) for the year ended December 31, 2017 is Wednesday. Adher to all SEC/EDGAR requirements and XML specifications. By continuing to use Pastebin, you agree to our use of cookies as described in the Cookies Policy. SEC Filings 2019 2018 2017 2016 2015 13F-HR/A Form 13F Holdings Report Dec 01, 2016. These codes are created and provided when a company or insider registers with the SEC as an EDGAR filer. Personal Income Tax Visit Massachusetts State Parks Passenger (Class D) Driver's Licenses Jury Duty Applying for Unemployment Benefits SNAP benefits (formerly food stamps). What Securities to Report on Form 13F Section 13(f) securities are equity securities of a class described in Section 13(d)(1) of the Securities and Exchange. 13d-101), whichever is less, by the persons named in response to paragraph (a). 1 to its registration statement to file additional information in connection with its offer to exchange up to $40 million of registered 4. There’s no need to learn XML. Portfolio Properties. FREQUENTLY ASKED QUESTIONS ABOUT RULE 144 AND RULE 145 Understanding Rule 144 under the Securities Act of 1933 What is Rule 144? Rule 144 permits public resales of the following, without having to register the resale with the Securities and Exchange Commission (the SEC): unregistered securities acquired directly from. Using a hand-collected sample of 13F filings by bank holding companies, we show that (1) reported holdings do not always appear on the SEC's Official List, (2) market prices of Official List securities are often inaccurate, and (3) amended 13F reports are sometimes less accurate than the original. Please note that although there is a certain level of similarity between the various state securities regulators and the United States Securities and Exchange Commission ("SEC") with respect to the regulation of investment advisors, there are significant variances among state securities regulators. Form 13F is a quarterly report, required under Exchange Act Section 13(f) and Rule 13f-1, for institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities (defined below). The form of 3. equity holdings to the. Preferences • Managing Alerts • Managing Dashboards • Managing Folders • Setting Default Search Settings • Setting Default Display. It is made available for use in the preparation of reports filed with the Securities and Exchange Commission pursuant to Rule 13f-1 [17 CFR 240. The Securities and Exchange Commision (SEC) provides answers to FAQs to help money managers that are required to file Form 13F. We examine the reliability of Form 13F filings and find significant reporting errors. 13F-NT 05/08/2019: 10-Q in beneficial ownership of securities Corporate Governance Financial Information Proxy Materials SEC Filings Shareholder FAQ Stock. Benefits: Filter your holdings to exclude non-13f securities according to SEC instructions. Arconic SEC Filings 10-K, Proxy, Filings, Insider Transactions, 10-Q. 13F-HR Form 13F Holdings Report May 10, 2019 424B5 Prospectus filed pursuant to Rule 424(b)(5) May 08, 2019 FWP Free Writing Prospectus - Filing under Securities Act Rules 163/433 May 07, 2019. Web-based (HTML) display of the SEC's currently available Official List of Form 13F Securities; see sample below. 13F Holdings Report Initial Filing. The investor relations site ("Site") with which this document is associated is maintained by S&P Global Market Intelligence ("S&P") on behalf of the organization featured on the Site (S&P's "Client"). The process of filing and having an S-1 approved by the SEC can take anywhere from two months to a year. to 10:00 p. Eastern Time, it will not be deemed filed with the SEC until the following business day (except for filings made pursuant to Rule 462(b) and Section 16 filings, which will receive the date o f the actual filing). However, we find no evidence that long-term investors benefit from 13F based trading. com files SEC Form 13F information table filings. The Investor Relations website contains information about American Airlines's business for stockholders, potential investors, and financial analysts. Recipient's account number. An institutional investment manager that uses the U. Overview: SEC Filing RSS 2019 2018 2017 2016 2015 11/14/16 13F-HR Form 13F Holdings Report. 7 million offered through its 2019 equity incentive plan. GFO Advisory Services, LLC is a SEC registered investment adviser that provides investment advisory services to a group of private investment funds and other non-investment advisory services to affiliates. These FAQs do not have the authority of law, and they are not the same as statements made by the Commission. Current List (third quarter 2019). The SEC's EDGAR log file data set is a collection of web server log files that allow researchers to study the demand for SEC filings. 4/20/2019 · SEC Form 13F is a quarterly report that is filed by institutional investment managers with at least $100 million in equity assets under management. Submit a professional looking document according to EDGAR instructions. Access BlackRock's full archive of SEC filings. News and financial information for Protective Life Corporation (NYSE: PL) and its subsidiaries, including Protective Life Insurance Company, Protective Life & Annuity Insurance Company, West Coast Life Insurance Company and Protective Asset Protection. Also offered is a searchable official list of 13F securities, in both Excel and CSV versions, for use in preparing 13F Information tables. You can use the SEC CIK lookup tool if you cannot find an appropriate ticker. Primary Withholding Agent's EIN. The following are some frequently asked questions and answers relating to SEC Rule 206(4)-7. “I have found Hidden Value Stocks to be a valuable publication at uncovering unknown investments and unknown managers, and I look forward to reading the publication each quarter. , floppy disks, personal digital assistants and other hand-held peripherals, and CD-ROMs). Downloads of Section 13(f) Securities come in Excel friendly CSV and XLS formats for easy analysis. The Investor Relations website contains information about The Dow Chemical Company - IR site's business for stockholders, potential investors, and financial analysts. (g) Any person who has reported an acquisition of securities in a statement on Schedule 13G (§ 240. Arconic SEC Filings 10-K, Proxy, Filings, Insider Transactions, 10-Q. Download the lists of data you need to file quarterly reports to the United States Securities & Exchange Commission (SEC). FREQUENTLY ASKED QUESTIONS ABOUT RULE 144 AND RULE 145 Understanding Rule 144 under the Securities Act of 1933 What is Rule 144? Rule 144 permits public resales of the following, without having to register the resale with the Securities and Exchange Commission (the SEC): unregistered securities acquired directly from. Form SLT , Aggregate Holdings of Long-Term Securities by U. Form 13F is a quarterly report, required under Exchange Act Section 13(f) and Rule 13f-1, for institutional investment managers that exercise investment discretion over $100 million or more in Section 13(f) securities (defined below). on Form 13F for the reporting period, exercise investment discretion with respect to the same securities, only one such Manager must include information regarding such securities in its reports on Form 13F. The following are some frequently asked questions concerning Form PF registration with the U. Form 13F is the reporting form filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934. Information and news releases on this site were believed to be accurate as of the date prepared, and Cincinnati Financial disclaims any duty to update them. You can use the SEC CIK lookup tool if you cannot find an appropriate ticker. What is the rationale for extending SEC to employers who hire persons with disabilities (PWDs), especially those aged below 55? The SEC covers persons with disabilities (PWDs), including those aged below 55. Section 13(f) and Rule 13f-1 of the Securities Exchange Act of 1934 require certain institutional investment managers exercising investment discretion over accounts having an aggregate fair market value of $100 million or more in certain securities specified as “13(f) securities” by the Securities and Exchange Commission (“SEC”) at the end of any trading month to report these holdings to the SEC on Form 13F. Thomson Reuters Corporation is a reporting issuer (or has equivalent status) in each of the Canadian provinces. GFO Advisory Services, LLC is a SEC registered investment adviser that provides investment advisory services to a group of private investment funds and other non-investment advisory services to affiliates. News and financial information for Protective Life Corporation (NYSE: PL) and its subsidiaries, including Protective Life Insurance Company, Protective Life & Annuity Insurance Company, West Coast Life Insurance Company and Protective Asset Protection. Nick Young (317) 817-2893 Email Nick. You can learn more about Form 13F filings and the applicable statutory and regulatory provisions, as well as obtain a copy of the Form and instructions and the Official List of Section 13(f) Securities, by accessing Frequently Asked Questions About Form 13F prepared by the SEC's Division of Investment Management. 13F filings are submitted quarterly to the SEC by hedge funds and other investment managers WhaleWisdom Search All Search 13F Filers Only Search SEC Filer Search Stocks Only Search Mgmt Inv. 000% senior note, and the opinion and consent of David Weiser, were included by exhibit. Anaconda-Ericsson, Inc. 15, the SEC updated the Filing Dates for Form 13F. Comprehensive coverage of SEC football, basketball, baseball and more, including live games, scores, schedules, standings and news Scores The Official Website of the Southeastern Conference. With the Securex Form 13F EDGAR Filing Service, you send us your holdings list, we EDGARize, validate and email you a PDF proof for review and approval. Downloads of Section 13(f) Securities come in Excel friendly CSV and XLS formats for easy analysis. Congress passed Section 13(f) of the Securities Exchange Act in 1975 in order to increase the public availability of information regarding the securities holdings of institutional investors. Upon acceptance, you will receive a unique CIK via e-mail. Information provided on this website is intended only for persons who are eligible to purchase U. Our EDGAR filing agents have been converting and submitting documents to the SEC EDGAR system since 1999. Abstract: Registrant filed amendment No. the reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the securities and exchange commission, upon request, full information regarding the number of shares. FREQUENTLY ASKED QUESTIONS ABOUT RULE 144A Understanding Rule 144A What is Rule 144A? Rule 144A is a safe harbor exemption from the registration requirements of Section 5 of the Securities Act for certain offers and sales of qualifying securities by certain persons other than the issuer of the securities. makes no representations or warranties with respect to the information contained herein and takes no responsibility for supplementing, updating, or correcting any such. In addition, Regulation 14E applies to both third-party tender offers as well as issuer tender offers. Notice: Before you can electronically file with the SEC on EDGAR, you must become an EDGAR filer with authorized access codes. WRDS created a 13F dataset based on original SEC Form 13F filings, which researchers can use as a reliable source of institutional ownership data to supplement Thomson data in their research. 2019 - Q2 List of Section 13(f) Securities. All institutional investment managers that meet the requirements of Section 13(f) must file Form 13F, regardless of whether they are SEC-registered investment advisors. Abstract: On Sept. Cos Only ETFs Only Search Active. Official website of the Commonwealth of Massachusetts. 000% senior notes due 2022. In particular, the updated FAQs provide filers with (i) links to instructions on how to create and file Forms 13F; (ii) information regarding a filer hotline that the SEC has established (202-551. SEC Filings Date 13F-NT: 13F-NT Board of Directors Contact Information Corporate Governance Financial Information Proxy Materials SEC Filings Shareholder FAQ. The reader should not assume that the information is accurate and complete. For all 13F securities of a given issuer (company), we should add up the quantity of securities held, but adjust any options held so that the count is based on “option holdings to purchase only such amounts” (see section 10 on the 13F Instructions. 25 Notification filed by a National Securities Exchange to Report the Removal from listing and registration of matured , redeemed or retired securities Dec 11, 2017 4 Statement of Changes in Beneficial Ownership Dec 08, 2017. 13F Filings for the September 30th, 2019 Quarter are due November 14th, 2019. As such format was mandated by the SEC after June 2013, the SEC 13F Holdings data is complete only for the period after that reporting date. We detect abnormal trading volume and positive returns immediately after disclosure, likely due to copycat investors. News and financial information for Protective Life Corporation (NYSE: PL) and its subsidiaries, including Protective Life Insurance Company, Protective Life & Annuity Insurance Company, West Coast Life Insurance Company and Protective Asset Protection. Bill & Melinda Gates Foundation Trust is based out of Kirkland. An updated list is published on a quarterly basis. SEC Filings Group 3,4,5 Annual Filings Current Reports Mergers & Acquisitions Other Proxy Filings Quarterly Filings Registration Statements Filing year - Any - 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997. 13F-NT 05/08/2019: 10-Q in beneficial ownership of securities Corporate Governance Financial Information Proxy Materials SEC Filings Shareholder FAQ Stock. NEW: SEC Form 13F is now an XML filing. News and financial information for Protective Life Corporation (NYSE: PL) and its subsidiaries, including Protective Life Insurance Company, Protective Life & Annuity Insurance Company, West Coast Life Insurance Company and Protective Asset Protection. to 10:00 p. GFO Advisory Services, LLC is a SEC registered investment adviser that provides investment advisory services to a group of private investment funds and other non-investment advisory services to affiliates. If a filing is submitted after 5:30 p. Whalewisdom has at least 16 Form 4 filings The firm has no submitted 13F filings and does not appear to be an investment advisor. 13f-1] thereunder. The Form 13F report requires disclosure of the name of the institutional investment manager that files the report, and, with respect to each section 13(f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. Primary Withholding Agent's EIN. for Form 13F filings, and may need to file a 13f notice indicating that other reporting managers report holdings. Instruction. Securities regulators from each of the 10 provinces and 3 territories in Canada have teamed up to form the Canadian Securities Administrators (CSA). OK, I Understand. Whoever commits an indecent assault and battery on a person with an intellectual disability knowing such person to have an intellectual disability shall for the first offense be punished by imprisonment in the state prison for not less than five years or not more than ten. Respondent Panel: State member banks and U.