What is a Form 13F-NT filing? Notice report
A Form 13F-NT filing is the notice report an institutional investment manager files with the US Securities and Exchange Commission (SEC) when its Section 13(f) holdings are reported on another manager's Form 13F-HR. Where a 13F-HR carries the holdings table, a Form 13F-NT filing carries no holdings at all: it is a pointer that says the positions are disclosed elsewhere. This guide explains what a Form 13F-NT filing is, why a manager files one, and how to follow it to the holdings. It is not investment advice.
Definition
A Form 13F-NT filing
is the SEC notice report an institutional manager files when its Section 13(f) holdings are reported on another manager's Form 13F-HR. It lists no holdings of its own and is filed within 45 days of quarter-end, the same deadline as the holdings report. Source: SEC.
Why would a manager file a Form 13F-NT?
Form 13F has more than one report type. A manager that itself reports its full list of Section 13(f) securities files a 13F-HR holdings report. A manager whose holdings are instead reported on another manager's 13F-HR, such as a parent company or an affiliated adviser inside the same group, files a 13F-NT notice. The notice tells the SEC and the public that this filer has 13(f) securities but that the positions appear on a different manager's holdings report.
What does a Form 13F-NT contain?
A Form 13F-NT is a cover page and a notice, not a holdings table. It identifies the filer and states that its Section 13(f) holdings are reported by another manager, giving the reader a route to the actual positions. To read the holdings, you open the 13F-HR that the notice references.
45 days
Deadline after each calendar quarter to file Form 13F-NT, the same as Form 13F-HR
Source: SEC
How does the 13F-NT fit among 13F reports?
The 13F-NT is one of the Form 13F report types. The holdings report is the 13F-HR; the notice report is the 13F-NT; a manager reporting some securities itself and some through another manager files a combination. For the difference between the notice and the holdings report, see 13F-HR vs 13F-NT. For how a quarterly 13F compares with other ownership disclosures, see 13F vs 13D and N-PORT vs 13F.
Every Form 13F-NT sits on the SEC's EDGAR system, which you can search for free. Flock reads disclosure filings and keeps each one dated and linked to its source, so you can move from a notice to the holdings report it points to in one step. What any of it means for your money is your call to make.
Frequently asked questions
What is a Form 13F-NT used for?
A Form 13F-NT is a notice report. An institutional manager files it when it has Section 13(f) securities but those holdings are reported on another manager's Form 13F-HR, for example a parent or an affiliated adviser. The notice points a reader to where the actual holdings are listed. Source: SEC.
Does a 13F-NT list any holdings?
No. A Form 13F-NT is a notice only. It states that the filer's Section 13(f) holdings are reported on another manager's Form 13F-HR and does not itself carry the holdings table. To see the positions, you open the 13F-HR that the notice points to. Source: SEC.
When is a Form 13F-NT filed?
A Form 13F-NT is filed within 45 days of the end of each calendar quarter, the same deadline as a Form 13F-HR. It covers the same reporting period; only the report type differs, because another manager is reporting the underlying holdings. Source: SEC.
Where can I read a manager's Form 13F-NT?
Every Form 13F-NT is filed on the SEC's EDGAR system and is free to read. Search by the manager's name, open the notice, and follow it to the Form 13F-HR that reports the holdings. Source: SEC EDGAR.
Flock tracks these filings, sourced, dated, and linked back to the original. See what smart-money entities disclosed, without the guesswork about what it means.
Disclosures shown are public regulatory filings. Data may be delayed or incomplete. Smart-money entities may no longer hold positions shown. Not investment advice.