Form 13F and 13D: SEC filing requirements
Form 13F discloses quarterly holdings by institutional investors; Form 13D requires notification when someone acquires 5 per cent of a company. Both forms feed the Prior Moves prediction model and activism tracking.
Who must file
Institutional investment managers with assets under management over $100 million; any person acquiring 5 per cent or more of a company's shares (13D)
Threshold
Schedule 13D: beneficial ownership of more than 5 per cent of a class (17 CFR 240.13d-1(a)). Form 13F has no percentage threshold: it applies to managers with at least $100,000,000 in Section 13(f) securities (17 CFR 240.13f-1(a)).
Deadlines
| Form | Deadline |
|---|---|
| 13F | within 45 days after the last day of each calendar quarter (17 CFR 240.13f-1(a)) |
| 13D | within five business days after the acquisition (17 CFR 240.13d-1(a)) |
What the filing contains
13F: holdings of securities worth $200,000 or more; 13D: statement of intent and background regarding acquisition
Where to find them
SEC EDGAR database - Search by CIK (company identifier), filer name, or ticker to retrieve all filings.
How Prior Moves uses them
13F holdings inform the next-buy prediction model for each investor; 13D filings track activist positions and intent