Institutional holdings

Form 13F shows which reportable securities an institutional investment manager held at the end of a quarter. Use these filings to inspect a disclosed portfolio, compare positions between quarters, follow new reports, and trace each holding back to its source filing.

These reports are best suited to portfolio and ownership research. They describe selected securities held at quarter end; they do not provide a live view of a manager's portfolio or a record of the trades that created each position.

How Form 13F reporting works

Institutional investment managers that meet the SEC's reporting threshold disclose their holdings in securities on the official Section 13(f) list. A holdings report contains three main parts:

1. Cover information identifies the manager, reporting period, report type, amendment details, and other managers named in the filing
2. Summary information gives the number of reported positions and their total market value
3. The information table lists the individual security positions reported by the manager

A report covers only securities on the SEC's Section 13(f) list. It does not represent every asset, short position, or economic exposure held by the manager.

Managers and reporting periods

Every report is organized around a filing manager and aperiod_of_report. The reporting period is the quarter-end date the positions describe. For example, a report filed in May can describe positions held on March 31.

The manager is identified by three source values:

• name is the manager name reported in the filing
• form_13f_file_number identifies the manager's Form 13F filing record and is the key used by manager endpoints
• cik identifies the EDGAR filer

Managers generally have up to 45 days after quarter end to file. Use the reporting period when comparing portfolios, and usefiled_at when you need to know when the SEC accepted the disclosure.

As-filed and effective holdings

A manager can submit an original report and one or more amendments for the same quarter. Reading only the latest accession is not always sufficient because an amendment can either replace the report or add omitted holdings. The API therefore provides two views:

Every holding in the effective view retains its source accession. You can use that accession to return to the filing that supplied the row.

Understanding a holding

Each row in the information table describes one reported security position. It is a quarter-end snapshot, not a trade record: it does not say when the manager acquired the position or how the position changed during the quarter.

A holding combines four kinds of information:

• Security: the issuer name and class description supplied by the manager, plus a put or call designation when applicable
• Position: the reported quantity and market value
• Investment discretion: whether discretion is exercised by the filing manager alone or shared with another manager
• Voting authority: the quantity for which the manager reports sole, shared, or no voting authority

The quantity is reported as either shares or principal amount.shares is a share count.principal_amount is the face or principal amount of an instrument, such as certain debt or convertible securities, and should not be interpreted as shares.

The API returns market values in whole US dollars as decimal strings. For filings submitted before January 3, 2023, it converts the SEC's former thousands-of-dollars values to whole dollars; values in later filings are already reported in dollars. A value of 73969644, for example, means $73,969,644.

Amendments and notices

Holdings reports can be amended in two ways:

• Restatement submits a complete corrected report and replaces the earlier active holdings set for that manager and quarter
• New holdings supplies positions omitted from the earlier report and adds them to the active holdings set

The effective view follows the amendment type selected by the filer. It does not reinterpret a new-holdings amendment as a restatement when rows overlap. See the SEC's Form 13F FAQ for the amendment rules.

13F-HR and 13F-HR/A are holdings reports. 13F-NT and13F-NT/Aare notices that the manager's reportable securities are reported by one or more other managers. A notice appears in the filing feed and filing-detail endpoint, but it has no information table and does not create effective holdings.

A holdings report can also name included managers whose positions are combined in its information table. Filing detail preserves those relationships alongside the filing manager and signature data.

Company mapping

A Form 13F row identifies a security, not a normalized public company. The filing does not provide the issuer's SEC CIK, and one company can have several reportable security classes. The list can also include funds, options, debt, and other instruments.

When a security maps confidently to a listed company,security.company contains its name, CIK, ticker, and exchange. Otherwise it is null. The holding remains useful without a company match because its source issuer, class, quantity, and market value are still available.

Choose an endpoint

The Form 13F instructions are the authoritative source for the filing's scope and fields.