Form 13F Data Sets
Contents
6.1 U.S. State/Country Codes and Descriptions
Form 13F was adopted pursuant to statutory directive designed to provide the Commission with data from larger managers about their investment activities and holdings. The FORM 13F data sets are extracted from EDGAR FORM 13F XML filings in a flat file format to assist users in constructing the data for analysis. The data will be published quarterly. Data contained in documents filed after 5:30pm EST on the last business day of the quarter will be included in the next quarterly posting.
The following table lists the submission types for EDGAR FORM 13F filings which are included in the data sets.
SUBMISSION TYPE | DESCRIPTION |
13F-HR | Initial Quarterly Form 13F Holdings Report filed by institutional managers |
13F-HR/A | Amendment to a Quarterly Form 13F Holdings Report filed by institutional managers |
13F-NT | Initial Quarterly Form 13F Notice Report filed by institutional managers |
13F-NT/A | Amendment to a Quarterly Form 13F Notice Report filed by institutional managers |
DISCLAIMER: The FORM 13F data sets contain information derived from structured data filed with the Commission by individual registrants as well as Commission-generated filing identifiers. Because the data is derived from information provided by individual registrants, we cannot guarantee the accuracy of the data. In addition, it is possible inaccuracies or other errors were introduced into the data during the process of extracting the data and compiling. Finally, the data does not reflect all available information, including certain metadata associated with Commission filings. The data is intended to assist the public in analyzing data contained in Commission filings; however, it is not a substitute for such filings. Investors should review the full Commission filings before making any investment decision.
The EDGAR Form 13F Data Set consists of XML data submitted from MAY 2013 through current period.
Note: EDGAR Technical Specifications provides information on FORM 13F XML Technical Specifications.
Note that the data includes FORM 13F EDGAR information "as filed" in EDGAR document submissions including amendments of prior submissions. Data in this submitted form may contain redundancies, inconsistencies, and discrepancies relative to prior submissions and other publication formats. There are up to seven (7) data files. Each quarterly data set is accompanied by a metadata file conforming to the W3C specification for tabular data (https://www.w3.org/TR/2015/REC-tabular-data-model-20151217/) that encodes the following information about the data files and their relationships to each other.
1. SUBMISSION identifies the XML submissions, filer and report information, with each row having the primary key ACCESSION_NUMBER.
2. COVERPAGE provides details of the cover page with each row having ACCESSION_NUMBER as the key.
3. OTHERMANAGER contains the lists of other managers reporting for this manager information with each row having ACCESSION_NUMBER and OTHERMANAGER_SK as the keys.
4. SIGNATURE provides the signature information with each row having ACCESSION_NUMBER as the key.
5. SUMMARYPAGE contains the Summary page information with each row having ACCESSION_NUMBER as the key.
6. OTHERMANGAER2 provides the list of other managers included in this report with each row having ACCESSION_NUMBER as the key.
7. INFOTABLE data contains the information table with each row having ACCESSION_NUMBER and INFOTABLE_SK as the primary keys.
Each of the seven (7) data files provide text format, tab delimited, UTF-8 encoding.
The fields in the tables below provide the following information: field name, description, data format, maximum field size, an indication of whether or not the field may be NULL (yes or no), and key.
The Key field indicates whether the field is part of a unique index on the data. There are two possible values for this field:
· "*" Indicates the field is part of the unique key for the row.
· Empty (nothing in field) means the field is not part of the unique compound key.
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
FILING_DATE | Filing date with the Commission; sourced from EDGAR in (DD-MON-YYYY) format. | DATE | No | |
SUBMISSIONTYPE | Submission type is either an initial quarterly Form 13F holdings report, notice report or the amendment. | VARCHAR2(10) | No | |
CIK | Filer CIK (Central index key). | VARCHAR2(10) | No | |
PERIODOFREPORT | Period of report in (DD-MON-YYYY) format. | DATE | No |
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
REPORTCALENDARORQUARTER | Report for the calendar year of quarter ended in (DD-MON-YYYY) format. | DATE | No | |
ISAMENDMENT | Check here if amendment | CHAR(1) | Yes | |
AMENDMENTNO | Amendment number | NUMBER(2) | Yes | |
AMENDMENTTYPE | Amendment type is a restatement or adds new holdings entries. | VARCHAR2(20) | Yes | |
CONFDENIEDEXPIRED | Whether confidential treatment request is denied or expired. | CHAR(1) | Yes | |
DATEDENIEDEXPIRED | Pursuant to a request date when confidential treatment expired or denied in (DD-MON-YYYY) format. | DATE | Yes | |
DATEREPORTED | Date securities holdings reported pursuant to a request for confidential treatment in (DD-MON-YYYY) format. | DATE | Yes | |
REASONFORNONCONFIDENTIALITY | Reason for non-confidentiality: denied or confidential treatment expired. | VARCHAR2(40) | Yes | |
FILINGMANAGER_NAME | Filing manager name. | VARCHAR2(150) | No | |
FILINGMANAGER_STREET1 | Filing manager address street name - first line. | VARCHAR2(40) | Yes | |
FILINGMANAGER_STREET2 | Filing manager address street name - second line. | VARCHAR2(40) | Yes | |
FILINGMANAGER_CITY | Filing manager primary city. | VARCHAR2(30) | Yes |
|
FILINGMANAGER_STATEORCOUNTRY | Filing manager state or country name. | CHAR(2) | Yes |
|
FILINGMANAGER_ZIPCODE | Filing manager zip code. | VARCHAR2(10) | Yes |
|
REPORTTYPE | Report type: 13F holdings report; 13F notice; 13F combination report. | VARCHAR2(30) | No |
|
FORM13FFILENUMBER | FORM 13F file number. | VARCHAR2(17) | Yes |
|
CRDNUMBER | CRD Number (if applicable) | VARCHAR2(9) | Yes |
|
SECFILENUMBER | SEC File Number (if applicable) | VARCHAR2(17 ) | Yes |
|
PROVIDEINFOFORINSTRUCTION5 | Do you wish to provide information pursuant to instruction 5? | CHAR(1) | No |
|
ADDITIONALINFORMATION | Additional information. | VARCHAR2(4000) | Yes |
|
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
OTHERMANAGER_SK | Other manager surrogate key. | NUMBER(38) | No | * |
CIK | Central index key. | VARCHAR2(10) | Yes | |
FORM13FFILENUMBER | FORM 13F file number. | VARCHAR2(17) | Yes | |
CRDNUMBER | CRD Number (if applicable) | VARCHAR2(9) | Yes |
|
SECFILENUMBER | SEC File Number (if applicable) | VARCHAR2(17 ) | Yes |
|
NAME | Other manager name. | VARCHAR2(150) | No |
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
NAME | Signatory name. | VARCHAR2(150) | No | |
TITLE | Signatory title. | VARCHAR2(60) | No | |
PHONE | Signatory phone number. | VARCHAR2(20) | Yes | |
SIGNATURE | Signature. | VARCHAR2(150) | No | |
CITY | Signatory city. | VARCHAR2(30) | No | |
STATEORCOUNTRY | Signatory state or country. | CHAR(2) | No | |
SIGNATUREDATE | Signature date in (DD-MON-YYYY) format. | DATE | No |
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
OTHERINCLUDEDMANAGERSCOUNT | Number of other included managers. | NUMBER(3) | Yes | |
TABLEENTRYTOTAL | Table entry total. | NUMBER(6) | Yes | |
TABLEVALUETOTAL | Table value total. | NUMBER(16) | Yes | |
ISCONFIDENTIALOMITTED | Is confidential omitted. | CHAR(1) | Yes |
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
SEQUENCENUMBER | Sequence number. | NUMBER(3) | No | |
CIK | Central index key. | VARCHAR2(10) | Yes | |
FORM13FFILENUMBER | FORM 13F file number. | VARCHAR2(17) | Yes | |
CRDNUMBER | CRD Number (if applicable) | VARCHAR2(9) | Yes |
|
SECFILENUMBER | SEC File Number (if applicable) | VARCHAR2(17 ) | Yes |
|
NAME | Other manager 2 name. | VARCHAR2(150) | No |
Field Name | Description | Data Type | Nullable | Key |
ACCESSION_NUMBER | Unique identifier assigned by the SEC to each EDGAR submission. | VARCHAR2(25) | No | * |
INFOTABLE_SK | Info table surrogate key. | NUMBER(38) | No | * |
NAMEOFISSUER | Name of issuer. | VARCHAR2(200) | No |
|
TITLEOFCLASS | Title of class. | VARCHAR2(150) | No |
|
CUSIP | CUSIP number of security. | CHAR(9) | No |
|
FIGI | Financial Instrument Global Identifier (FIGI) | VARCHAR2(12) | Yes |
|
VALUE | Market value. Starting on January 3, 2023, market value is reported rounded to the nearest dollar. Previously, market value was reported in thousands. | NUMBER(16) | No |
|
SSHPRNAMT | Number of shares or principal amount. | NUMBER(16) | No |
|
SSHPRNAMTTYPE | Shares (SH) or principal amount (PRN) type. | VARCHAR2(10) | No |
|
PUTCALL | PUT/CALL. | VARCHAR2(10) | Yes |
|
INVESTMENTDISCRETION | Investment discretion. | VARCHAR2(10) | No |
|
OTHERMANAGER | Sequence number of other manager included in report with whom discretion is shared. | VARCHAR2(100) | Yes |
|
VOTING_AUTH_SOLE | Voting authority sole. | NUMBER(16) | No |
|
VOTING_AUTH_SHARED | Voting authority shared. | NUMBER(16) | No |
|
VOTING_AUTH_NONE | Voting authority none. | NUMBER(16) | No |
|