13H

13H Large Trader  

13H filing requirements by a “large trader” is a person or organization whose trades exceed certain amounts as specified by the SEC: 

  • Trades equal or exceeding 2 million shares or $20 million during any calendar day, or
  • 20 million shares or $200 million during any calendar month

A large trader is required to submit an initial filing on Form 13H within 10 days after the large trader effects aggregate transactions equal to or greater than the identifying activity level.

After filing SEC Form 13H, the Commission will assign a large trader id (LTID), which the large trader must provide to its broker-dealers.

Once 13H Filings are processed through EDGAR they are not posted on the SEC’s website or made publicly available.

13H Steps to Filing

  1. A Large Trader must first apply for EDGAR Filing Codes by completing a Form ID application. Contact us so we can assist you with completing this application. The SEC process time are between 24-48 hours for Form ID applications.
  2. Complete the 13H Form and send to us for Filing to SEC. We will send a PDF proof for your Review.
  3. Lastly, we send you the SEC Acceptance Notice with LTID once filed. 

Other 13H filings:

Annual Filing (13H-A) Large Traders must submit an Annual Filing on form 13H within 45 days after the end of each calendar year. 

Amended Filing (13H-Q) Must be filed within 10 days following the end of the calendar quarter in which information contained in a Form 13H filing becomes inaccurate for any reason.

Inactive Status (13H-I) A large trader that has not effected aggregate transactions at any time during the previous full calendar year in an aggregate amount equal to or greater than the identifying activity level may file for Inactive Status.

Reactivated Status (13H-R)  Indicates the date that the aggregate number of transactions reached or exceeded the identifying activity level. 

Termination Filing (13H-T) Indicates the date on which the large trader ceased operation.

Resources
13h-1 rule Large Trader
FAQ for Large Trader Reporting

How we assist
Download the Form 13H complete and email to us with your filing codes. We will submit the form on your behalf and send you SEC Acceptance Notice.

Contact a Sales Representative 904-363-0506.

This information has been obtained from www.sec.gov and believed to be reliable, but cannot be guaranteed for accuracy.