Katelynn's Report

Katelynn's Report

(US Market)


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Form 13H

What is it: Form 13H is the initiating filing by an investor who trades listed US securities/options equal to or more than 2 million shares or $20 millions during any calender day, or 20 million shares or $200 million during any calender month (identifying activity level). The investor who need to file 13H is also called large trader, which is usually a broker, dealer, investment adviser, bank, insurance company, future commission merchant, etc. Each large trader has a large trader ID (LTID) issued by the SEC.

Filing Time: The Form 13H-A is filed annually by every large trader within 45 days after the end of each full calendar year.

Related Form(s):
13H-A: Annual filing. The purpose is to provide updated status of a large trader.
13H-Q: Amended filing.
13H-I: Inactive status. Filed when the reporter has not reach identifying activity level at any time during the previous calender year.
13H-R: Reactivated status.
13H-T: Termination filing. Filed when the reporter does not expect to file future 13H due to e.g. ceasing to do business, or being acquired.

Tips: No 13H filing is seen between 2008 and 2014.