Form 13H Large Trader  

Form 13H Filing 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

After filing 13H, the Commission will assign each large trader an identification number (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.

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 promptly 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.

13H 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 to file Form 13H. 904-363-0506.

This information has been obtained from and believed to be reliable, but cannot be guaranteed for accuracy. Consult with legal counsel before relying on the information provided.