Amendments to Form 13F
December 15, 2022
WHAT HAPPENED?
The SEC recently adopted amendments to Form 13F, and the changes go into effect in less than a month, on January 3, 2023.
What the revised form will look like: Federal Register
Where you’ll be able to find it (once updated): https://www.sec.gov/files/form13f.pdf
When you’ll see it: Q4 filing submissions due on February 14, 2023
How this may affect you:
- Form 13F Confidential Treatment Requests (13F-CTR):
- Should be filed as a separate, non-public filing from a manager’s public Form 13F filing
- Must include a confidential Form 13F report that is limited to the 13(f) securities holdings for which the manager is requesting confidential treatment
- Form 13F (13F-HR):
- Managers required to identify on the Summary Page if confidential treatment is being requested for some or all of the manager’s holdings for the quarter-end period
- Each Form 13F filer will be required to:
- Provide its Central Registration Depository number (“CRD number”)
- Provide its SEC file number (if any)
- Managers may disclose, for each security reported on Form 13F, the security’s Financial Instrument Global Identifier (“FIGI”) in addition to its mandatory CUSIP number
- Dollar Values:
- Required to be rounded to the nearest dollar, rather than to the nearest one thousand dollars
- Not required to omit the “000” when reported
- Form 13F (13F-NT):
- Managers must include CRD number and SEC file number (if any) of any other manager included in the “List of Other Managers Reporting for this Manager” table on the cover page
QUESTIONS?
Our team of regulatory experts constantly track changes and developments related to the SEC and regulatory disclosures. If you have any questions about amendments to Form 13F or related regulatory requirements, contact us today. We’re here to help.
