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Form 13F: What is it? How can you benefit from it?

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Investing with moomoo wrote a column · May 20, 2021 01:54
Form 13F: What is it? How can you benefit from it?
Recently, there is another word making waves on Wall Street: 13F.
Every quarter, the U.S. Securities and Exchange Commission (SEC) mandates institutional investors to disclose their current holdings. These filings, known as 13Fs, must be submitted no more than 45 days after the quarter ends.
Form 13F: What is it? How can you benefit from it?
That's to say, Form 13Fs for 1Q2021 have been disclosed by May 17.
However, what is 13F and how can you benefit from it?
Here's what you need to know about 13Fs.

What is Form 13F?
In order to increase public information regarding securities holdings, SEC requires all institutional investment managers with control over $100M in assets to file Form 13F quarterly to list all equity assets under management.
Who must file Form 13F?
Institutional investment managers with discretion over $100 million or more must file Form 13Fs.
These managers can be private trusts, banks, insurance companies, investment advisors, and hedge funds.
Foreign institutional managers also need to file if they have discretion over $100M or more in designated securities.
Well-known hedge funds include Bridgewater Associates, Renaissance Technologies, Point72 Asset Management, Elliott Management, etc.

Why 13Fs are important?
From 13 filings, the public can view:
A description of the class of security listed (e.g., common stock, put/call option, class A shares, convertible debenture);
• The number of shares owned;
• The fair market value of the securities listed, as of the end of the calendar quarter.
The disclosure is intended to provide the public a view of the nation's largest institutional investors' holdings, as well as increasing investor confidence in the integrity of the United States securities markets.
In addition, these fillings can provide some insights into what smart money is doing in the market.
Many smaller investors may use the filings as a guide for their own investment strategies.
It's worth noting that a 13F filing does not tell the whole story, because institutional investors are only obliged to reveal their long positions. Short positions are NOT required to be disclosed, nor subtracted from long positions that are reported.
Therefore, small investors should focus on funds that tend to hold securities long-term and have a higher concentration of high conviction picks.
This can be a useful way to get trading ideas from big-name traders like Warren Buffett, Ray Dalio, Carl Icahn, George Soros, Peter Lynch, and many more.

Where to check 13Fs?
• SEC official website
• Moomoo: Subscribe “Smart Money Flow” here. We will provide you the major filings as they come out. Please check back frequently for updates!
Disclaimer: Moomoo Technologies Inc. is providing this content for information and educational use only. Read more
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