A Modernized Form 13F Self-service Filing Tool
EDGAR Filing Agent, a division of Electronic Publishing Services, Inc., is implementing an online self-service filing system we call the Form 13F Online Workstation. We’ve done all the hard work. You simply fill out a form and upload an Excel file of your securities listings (if you’re doing a Form 13F-HR Holdings Report or Combination Report). There’s no need to learn XML: our system does all the work of converting your information to the EDGAR-compliant XML format! And you can send your Form 13F directly to the SEC from here.
To help you prepare your filing we developed a “scrubber” to analyze your Information Table (list of securities) and remove any non-13F securities. We also provide all self-service filers with a searchable HTML page of the Official List of 13F Securities (as provided by the SEC) as well as downloadable versions of the 13F Securities list in Excel and CSV format.
The 13F Online Workstation allows you full management over your forms: creation, validation, filing, and storing. You can file all versions of Form 13F and save them for future reference, re-use or amendment. You are also able to file 13Fs for multiple entities!
Features of our system
| • | Simple, do-it-yourself method of filing your 13F forms. | |
| • | Access to a searchable version of the official 13F securities list. | |
| • | “Scrub” your Form 13F Information Table listings before you file to remove non-13F securities, and conform names and descriptions to the official list. We’ve recently added the ability to omit small positions (below-threshold securities)*. | |
| • | Easy upload of the 13F Information Table as an Excel file. There’s no need to learn XML. | |
| • | Test and live file your Form 13F to the SEC directly from our Online Workstation; receive and review filing notifications immediately. | |
| • | Save forms for future re-use or amendment. |
If you would be interested in seeing an online demo of our system, give us a call. We will be happy to demonstrate our online filing tool.
Official List of 13F Securities
Although we have an HTML version of the official list of 13F securities for our self-filers to use, they requested an Excel version of the 13F securities list also. We now offer the official list of 13F securities, in both Excel and CSV versions, for use in preparing 13F Information Tables. The 13F securities list is available free of charge to all self-filers and can be purchased by subscription for all others wishing to make use of it.
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* A Manager may omit holdings otherwise reportable if the Manager holds, on the period end date, fewer than 10,000 shares (or less than $200,000 principal amount in the case of convertible debt securities) and less than $200,000 aggregate fair market value (and option holdings to purchase only such amounts). [Form 13F Instructions, Special Instruction 10]