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Form 13F Data Sets

Contents

1... Overview

2... Scope

3... Organization

4... File Formats

5... Table Definitions

5.1        SUBMISSION

5.2         COVERPAGE

5.3         OTHERMANAGER

5.4         SIGNATUREBLOCK

5.5         SUMMARYPAGE

5.6         OTHERMANAGER2

5.7         INFOTABLE

6... Appendix

6.1         U.S. State/Country Codes and Descriptions

 

1                   Overview

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.

2         Scope

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.

3         Organization

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.

4             File Formats

Each of the seven (7) data files provide text format, tab delimited, UTF-8 encoding.

5             Table Definitions

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.

5.1         SUBMISSION

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

5.2        COVERPAGE

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

 

5.3        OTHERMANAGER

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

 

5.4        SIGNATURE

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

 

5.5        SUMMARYPAGE

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

 

5.6        OTHERMANAGER2

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

 

5.7        INFOTABLE

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

 


 

6             Appendix