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Q4 and Annual 13H Filings Required

With the first annual 13H filing deadline tomorrow, February 14th, there seems to be much confusion on what actually is required to be filed. Below are brief responses to questions relating to the upcoming deadline.

All large traders must submit an Annual Filing within 45 days after the end of each full calendar year. An annual 13H-A is required even if no changes have occurred from the initial 13H filing.

If any of the information contained in a Form 13H filing becomes inaccurate for any reason, an Amended Filing on Form Type 13H-Q is required no later than the end of the calendar quarter in which the information changed.

A frequent question is if an amended filing for the fourth quarter ended December 31, 2012 is required to update information that changed in the quarter plus an annual filing for the 2012 calendar year end. The answer is yes, an annual filing is required regardless of whether any amended Forms 13H are filed.

To confirm the above information or ask specific questions, please contact the SEC© 13H help desk at 202-942-8900, option 7.

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