TrimTabs Asset Management, LLC stock holdings and annual report by SEC Form 13f filings Mar, 2024 (2024)

FAQs

How do I find a company's 13F filings? ›

You can search for and retrieve Form 13F filings using the SEC's EDGAR database. To find the filings of a particular money manager, enter the money manager's name in the Company Name field. To see all recently filed 13Fs, use the "Latest Filings" search function and enter "13F" in the Form Type box.

Institutional investment managers who exercise investment discretion over $100 million or more in Section 13(f) securities are required to submit Form 13F.

SEC Form 13F is required to be filed by institutional managers who manage $100 million or more in assets. The goal is to bring transparency into the financial holdings of such large managers. Though the form does bring transparency, there have been many criticisms of the form, which have yet to be addressed by the SEC.

13F-HR is the 13F Holdings Report and is used when all of your applicable securities are on the report. The 13F-HR can also be the 13F Combination Report which is used when some of your applicable securities are on the report and some are on someone else's report.

Q: Who must file Form 13F? A: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F.

Do Private Investors Have to File With the SEC? Under most circ*mstances, private investors don't have to file their own 13F forms. If you're a private citizen and you don't invest on behalf of another person or legal entity, you probably don't fall within the SEC's definition of an "institutional investment manager".

Generally, the SEC does not bring cases for failing to file the Form 13F. There was a famous case brought in 2007 against an investment adviser who was fined $100,000 for failing to make 13F filings for three years.

Unlike the Advisers Act, Section 13(f) does not exempt family offices: with the result that a family office, even if it is exempt from registration under the Advisers Act, may nevertheless be an "institutional investment manager" for purposes of Section 13(f) and, therefore, be required to comply with the Form 13F ...

Form 13F is mandatory for institutional investment managers who manage assets of at least $100 million and requires quarterly reporting. On the other hand, Schedule 13G is triggered when an investor acquires beneficial ownership of more than 5% of a class of equity securities.

Form 13F is a quarterly report that certain “institutional investment managers” must file if they exercise “investment discretion” with respect to accounts holding “Section 13(f) securities” (generally US publicly traded securities) having an aggregate value of at least $100 million.

What SEC filings are required? ›

SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.

Form 13F. Investment advisers who exercise investment discretion over “Section 13(f) securities” (generally equity securities of public companies) are required to file quarterly reports with the SEC on Form 13F within 45 days of each quarter-end.

Form 13Ds are similar to 13Fs but are more stringent; an investor with a large stake in a company must report all changes in that position within just 10 days of any action, meaning that it's much easier for outsiders to see what's happening much closer to real time than in the case of a 13F.

EDGAR is the main database for public company filings in the United States and contains all documents that companies are required to file. EDGAR stands for Electronic Data Gathering, Analysis, and Retrieval and is a searchable database of filing documents for U.S. companies.

Filing Reports

4 Information on EDGAR can be found on the SEC's website, where you can search through forms as well as familiarize yourself with the system using its EDGAR tutorial. Be warned, the tools on the SEC's site are still cumbersome at best. For a more user-friendly site, try EDGAR Online.

Warren Buffett is arguably the best 13F to track. Because the “The Oracle of Omaha” has high conviction investments, a long holding period, and a dependable history, Buffett's 13F provides value unlike any other filing.

The public can review SEC filings by visiting the commission's online database, EDGAR. Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13, Form 114, and Foreign Investment Disclosures.