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FORM 13F EDGAR Filing SERVICE for Institutional Investment Managers

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The Form 13F filing process is the perfect job for automation, yet it is still often done manually by compliance staf around the world.

Countless hours are spent across the industry on a task that, when properly automated, can be done very quickly and accurately. 

The SEC has revised the requirements of Form 13F reporting requires all information to be submitted in XML format, including the holdings summary.

FundApps' 13F filing service prepares Form 13F filings according to EDGAR XML Technical Specifications and ready for submission via the EDGAR OnlineForms/XML Website. 

The Official List is published quarterly and is available for on the SEC's website.

13F: MORE THAN MEETS EXCEL Read the BLOG

DATA AND CALCULATIONS

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Data Sourcing

We scrape theOfficial List of 13F Securities (as provided by the SEC) immediately after its release and enhance the file by removing deleted positions.

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Security matching

For equities, depository receipts, convertibles, rights, and warrants, and ETFs, we match the CUSIPs, for options we look at the underlying security’s CUSIP.

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Market value and Share amount

It is important to obtain fair market values (and principal amounts for convertibles) to ensure the “de minimis” thresholds are met, add up the aggregate fair market value of all securities (ex convertible bonds) in that issuer and ensure it’s USD 200,000 or more.

HOW IT WORKS

Integrating with FundApps is straightforward: all we require is a positions file. Our compliance experts support you every step of the way to get you up and running as efficiently and as easily as possible.

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1. Upload your Data

 

Upload your information securely via our Website. 

We can help you to schedule this process automatically.

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2. REVIEW DOCUMENTS 

 

Review the Form 13F (XML & HTML) preview securely online.

The HTML preview is based on the official SEC 13F template and reflects how it will appear once filed. 

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3. APPROVE AND SUBMIT

 

Upload and submit your files via the EDGAR OnlineForms/XML Website.

FundApps will retain an audit of all positions, check results and user actions online.

Contact us for a demo

Please complete all fields below to book a demo.

REQUIRE A SOLUTION FOR FOREIGN FILINGS?

Shareholding Disclosure

Our Shareholding Disclosure Service automates the Monitoring and Disclosure Filing preparation in 92 Countries.

We automate disclosure requirements such as major shareholding (including 13D/G/F), short selling (EU SSR, HK, Japan, etc.), takeover panels, issuer limits, issuer requests (such as Section 793), industry limits, sensitive industries and more.

What are "Section 13F securities" AND WHAT NEEDS TO BE FILED?

These are securities that must be reported on Form 13F. Institutional investment managers with over $100 million in qualifying assets. Companies required to file SEC Form 13F may include insurance companies, banks, pension funds, investment advisers and broker-dealers.

This form, which must be filed within 45 days of the end of each quarter, contains information about the investment manager and potentially a list of their recent investment holdings. The SEC publishes a list of these securities at the end of each calendar quarter. Section 13F securities are equity securities of a class described in Section 13(d)(1) of the Securities Exchange Act.