Earlier this year the SEC announced amendments to Form 13F rules that will take effect with the upcoming 12/31/2022 filing period. See the following for a summary of the changes.
Cover Page. Additional identifying information is being requested by the SEC for the reporting Institutional Investment Manager (IIM). The SEC is now requesting the IIM disclose its CRD Number and/or SEC File Number if it has them. The SEC File Number is separate and in addition to the Form 13F File Number.
Summary Page. The “List of Other Managers Reporting for this Manager” and the “List of Other Included Managers” now contain fields for CRD Number and SEC File Number. Disclose these numbers, if they exist, for the managers being entered on the 13F form. Samples below.
List of Other Managers Reporting for this Manager [If there are no entries in this list, omit this section.]
|Name||Form 13F File Number||CRD No.
|SEC File No.
|Acme Investment Advisory LLC||028-12344||123447654||001-12344|
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
|No.||Name||Form 13F File Number||CRD Number
|SEC File Number
|1||Infinite Capital Management LLC||028-12345||123456789||001-12345|
Information Table. There are two new changes to the information table: 1) addition of a new column, FIGI (Financial Instrument Global Identifier), that follows directly after the CUSIP number column; and 2) the other change is to the Market Value column. This is now being reported in US dollars instead of thousands of dollars. Round to the nearest whole dollar amount. No need to divide by 1000 anymore.
For further information, check our Form 13F Online Workstation site or the SEC. Please contact us if you have any questions about this.
We have a sample Information table that can be downloaded from the site: https://form13f.com/files/form13f_information-table_2023.xlsx
And finally, we have updated the general instructions for creating 13F filings: https://form13f.com/form13f-instructions_v2.html