Form 13H Filing Service

Fill out the SEC Form 13H template on our website. Follow this simply step and OFFISTRA Filing Service specialists will prepare and submit the Form 13H for you. You can rely on us because we are a team of well-trained professionals.

About Form 13H 

13H-A, 13H-Q, 13H-I, 13H-T and 13H-R

For rule 13h-1, “Large Traders” with transactions in “NMS securities” that are equal to or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million in any calendar month or the “Identifying Activity Level” are required to identify themselves to the Commission and disclose certain information using the Form 13H over SEC EDGAR.

In general, a “Large Trader” is defined as a person—a firm or an individual—that a) either in a direct or indirect manner which includes other persons controlled by the said person, have investment discretion over one or more than one accounts. This person effects the transactions for buying or selling any NMS security, either for or on behalf of such accounts, or using one or more than one registered broker-dealers. If aggregated, the amount is equal to or more than the Identifying Activity Level; and b) registers out of his own will by electronically submitting Form 13H with the commission.

An “NMS security”, meanwhile, is any security or class of securities that collects and processes transaction reports, making available these reports pursuant to an effective reporting plan of transaction, or an efficient national market system plan that reports transactions in the listed choices.

The Form 13H is sent online to the SEC through the EDGAR website. Below are the six types of Form 13H filings.

• Initial Filing (13H):

This is accomplished to identify the Large Trader to the SEC. Generally, it is due in 10 days, once the first aggregate transactions become equal to or more than the Identifying Activity Level, and thereafter every year. Since October 3, 2011, this rule has already been in place. Therefore, persons or firms that meet this Large Trader definition must submit the Form 13H by December 1, 2011.

• Annual Filing (13H-A):  

The annual filing of Form 13H must be submitted by Large Traders within 45 days upon the end of each full calendar year. An amended fourth quarter filing jointly with annual filing may be amended by checking the correct box on the cover page.

• Amended Filing (13H-Q):

If the information in a Form 13H becomes inaccurate for whatever reason, a Large Trader must submit an Amended Filing not later than the end of the calendar quarter, when the information is already stale. For instance, if the name, business address, organization type and/or the organizational chart must be change, then an amended filing is required. A Large Trader may also voluntarily file an amended filing more than every quarter, although not required. Finally, if the Large Trader is on “Inactive Status”, he is not required to submit any Amended Filings. An amended fourth quarter may be submitted jointly with a yearly filing by selecting the appropriate box on the cover page of Form 13H-A.

• Inactive Status (13H-I):

If the Identifying Activity Level is not met or exceeded by the trader or other person, it is not required to file Form 13H. Also, if he does not expect to meet the Identifying Activity Level again, he may file for “Inactive Status”. If so, the Large Trader, who has not collected aggregated transactions more than the threshold in the year before, is allowed to reach Inactive Status by submitting Form 13H. This form is made to lessen the burden on traders who are infrequent, and who exceed the threshold only occasionally.

• Reactivated Status (13H-R):

If a trader that is currently on Inactive Status meets or exceeds the Identifying Activity Level, the Reactivated Status must be filed immediately. Ten (10) days is the ideal period for filing.

• Termination Filing (13H-T):

Traders and persons can terminate their status as Large Traders through Termination Filing. For instance, if traders stop operations, is acquired, or dissolves, the Large Trader may be able to submit a Termination Filing.

Once filed, Form 13H filings will not be accessible through the website although they are processed through EDGAR, unless made publicly available.

Form 13H Resources

• Rule 13h-1 (PDF)
• Large Trader Reporting FAQs
• Form 13H (PDF)