Form 13H SEC EDGAR Filing Agent Service

ACN offers an EDGAR Filing Agent Service to compile, submit, amend, and maintain your Form 13H Large Trader Registration under the SEC Rule 13h-1.

 
 

Rule 13h-1 requires a “Large Trader” whose transactions in “NMS securities” equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month (“Identifying Activity Level”), to identify itself to the Commission and make certain disclosures to the Commission via the Form 13H.

How it Works:

  • ACN provides you with a MS Word template which replicates the SEC Form 13H.

  • Send us by email the completed ACN Form 13H along with any special instructions.

  • ACN enters your data into the EDGAR system and sends you a copy of your pending filing for your review and approval.

  • Upon your approval we will submit the filing to EDGAR and send you a copy for your records.

  • You will receive an SEC/EDGAR email notification of Acceptance upon submission of the filing.

  • When an amendment is needed you notify ACN with an updated copy of your Form 13H, and we will go through similar steps.

  • ACN will remind you of your Annual Filing (due within 45 days after year end) and repeat the process.

Important Considerations:

  • You have the option of voluntarily submitting the registration, which the SEC recommends, before you reach the reporting threshold.

  • Any changes to the information in the registration requires updating (i.e. Amended Filing) on a quarterly basis.

  • All large traders must submit an Annual Filing within 45 days after the end of each calendar year.

  • Form 13H provides for six types of filings: Initial, Amended, Annual, Inactivated Status, Reactivated Status, and Termination.

  • Not all managers or investment firms are required to register but the SEC suggests doing so if you are close to the registration threshold. The Rule defines “large trader” as a person that effects transactions in an “identifying activity level” of: (1) 2 million shares, or shares with a fair market value of $20 million, effected during a calendar day; or (2) 20 million shares, or shares with a fair market value of $200 million, effected during a calendar month. The registration is recommended on the parent level.

 

The ACN App.
An Easier Way to File.

Streamline compiling and submitting reports to EDGAR - directly from your web browser. The ACN App's solution suite is the premier choice for Form 13F & Schedule 13G/D submissions.