Form 13H is the U.S. Securities and Exchange Commission (SEC) form titled Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934. The SEC lists 13H in its forms index under the Securities Exchange Act of 1934. On this page you can fill out the form online on FillingPDF and download or print the completed PDF. The original PDF is published by the SEC at sec.gov.
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What is 13H?
Form 13H, Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934, is the U.S. Securities and Exchange Commission (SEC) form that collects the information required of large traders under Section 13(h) of that Act.
The SEC is the federal agency that publishes it. Its forms index lists the form as Form 13H, files it in the Securities Exchange Act of 1934 category and gives it the catalogue code SEC2858. That code identifies the SEC publication; the form itself is called Form 13H. The PDF is available at https://www.sec.gov/files/form13h.pdf.
Do not confuse it with the neighboring Form 13F. The SEC's index describes Form 13F as the form for information required of institutional investment managers pursuant to Section 13(f), a different section of the same Act. Form 13H is tied by its title to Section 13(h) and to large traders.
It is a federal securities document, so it has no state or local version.
Who needs to file 13H?
The SEC's forms index places Form 13H in the Securities Exchange Act of 1934 category, and the form's title ties it to large traders under Section 13(h) of that Act. People and entities that the SEC treats as large traders for purposes of Section 13(h) are the audience the title points to.
The index entry for the form does not say who must file or who is exempt. Check the instructions on the SEC's website, or contact the SEC, before you decide whether the form applies to you.
Form 13H is not the form for institutional investment managers reporting under Section 13(f). That is Form 13F, listed separately in the SEC's forms index.
How to fill out 13H
Open the form on this page
Start the fillable Form 13H PDF and confirm the title reads Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934.
Read the SEC instructions first
Check the SEC's website for the instructions that apply to Form 13H, since they define what each section asks for.
Complete each section of the form
Enter the information the form asks for in each section, using the exact names and details you hold in your records.
Mark entries that do not apply
Review every section so no applicable entry is left blank by accident, following the SEC instructions for entries that do not apply.
Review and download the completed PDF
Check every entry against your records, then download or print the completed PDF from FillingPDF and file it through the SEC's channels.
How to submit 13H
Form 13H is filed with the SEC, which sets the filing channels. The SEC publishes the PDF at https://www.sec.gov/files/form13h.pdf and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index. The index entry gives no mailing address, portal or appointment rule for this form, so confirm the current filing method with the SEC before you send anything. FillingPDF lets you fill out and download the PDF; submission follows the agency's channels.
Common mistakes to avoid
- Using Form 13F, the form for institutional investment managers under Section 13(f), when the document you need is Form 13H under Section 13(h).
- Writing SEC2858 as the form number. That is the SEC's catalogue code in its forms index; the form is Form 13H.
- Working from a copy of unknown origin instead of the PDF the SEC publishes at https://www.sec.gov/files/form13h.pdf.
- Assuming the forms index entry tells you who must file or when. It gives neither, so confirm both with the SEC instructions.
Frequently asked questions
What is Form 13H?
Form 13H is the SEC form titled Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934. The SEC lists it in its forms index under the Securities Exchange Act of 1934.
What is the difference between Form 13H and Form 13F?
Form 13H is tied to Section 13(h) and large traders. Form 13F is the SEC's form for information required of institutional investment managers pursuant to Section 13(f). They are separate forms with separate entries in the SEC's forms index.
Can I fill out Form 13H online?
Yes. You can fill out the 13H PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file the form with the SEC; you file it through the SEC's channels.
Where can I get the official Form 13H PDF?
The SEC publishes the form at https://www.sec.gov/files/form13h.pdf and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index, the page where you can also find the SEC's other forms.
What does SEC2858 mean on Form 13H?
SEC2858 is the catalogue code the SEC's forms index shows next to Form 13H. It identifies the SEC publication, not the form number, which is 13H.
Where do I find the 13H instructions?
Look on the SEC's website, which publishes Form 13H and its forms index. The index entry itself is only a listing, so use the SEC's own pages or contact the SEC for the instructions that govern the form.
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