Step 1 of 6: Identity
SEC Filings & Disclosure
Insider & beneficial ownership reportingChoose the exact initial, annual, amended, inactive, termination, or reactivated Form 13H variant; collect trigger, deadline, protected identity, Items 1-6, authorization, and EDGAR evidence; obtain separated approval; submit through the SEC-hosted web form; and reconcile acceptance, including LTID evidence for an initial filing.
Basis: Market participant reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Large trader (required)
entityIdSelect the person or entity filing Form 13H. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Filer CIK (required)
filerCikEnter filer cik.
Step 2 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 2
Complete the Variant fields. Each value is validated against the schema before the next step unlocks.
Form 13H filing type (required)
filingTypeEnter form 13h filing type.
Existing large trader identification numberoptional
existingLtidEnter existing large trader identification number.
This is a voluntary initial filingoptional
initialFilingVoluntaryEnter this is a voluntary initial filing.
Identifying activity-level evidence artifact IDoptional
identifyingActivityEvidenceArtifactIdEnter identifying activity-level evidence artifact id.
Identifying activity or status effective atoptional
statusEffectiveAtEnter identifying activity or status effective at.
Annual filing calendar yearoptional
annualCalendarYearEnter annual filing calendar year.
Joint annual and fourth-quarter amended filingoptional
jointAnnualAndFourthQuarterAmendmentEnter joint annual and fourth-quarter amended filing.
Changed Form 13H information evidence artifact IDoptional
amendmentChangeEvidenceArtifactIdEnter changed form 13h information evidence artifact id.
Step 3 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 3
Complete the Deadline fields. Each value is validated against the schema before the next step unlocks.
Rule 13h-1 deadline calculation artifact ID (required)
deadlineCalculationArtifactIdEnter rule 13h-1 deadline calculation artifact id.
Calculated filing due at (required)
targetDueAtEnter calculated filing due at.
Step 4 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 4
Complete the Identity Details fields. Each value is validated against the schema before the next step unlocks.
Name of large trader filing the form (required)
legalNameEnter name of large trader filing the form.
Protected taxpayer-identification evidence artifact ID (required)
taxpayerIdentificationEvidenceArtifactIdReference protected evidence; do not expose the identifier in a summary card.
Business and mailing address artifact ID (required)
businessAddressArtifactIdEnter business and mailing address artifact id.
Telephone, email, and contact information artifact ID (required)
contactInformationArtifactIdEnter telephone, email, and contact information artifact id.
Step 5 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 5
Complete the Form Items fields. Each value is validated against the schema before the next step unlocks.
Item 1 business and trading activity artifact ID (required)
businessAndTradingActivityArtifactIdEnter item 1 business and trading activity artifact id.
Item 2 securities and regulatory status artifact ID (required)
regulatoryStatusArtifactIdEnter item 2 securities and regulatory status artifact id.
Item 3 securities affiliates artifact ID (required)
securitiesAffiliatesArtifactIdEnter item 3 securities affiliates artifact id.
Item 4 governance and control persons artifact ID (required)
governanceAndControlArtifactIdEnter item 4 governance and control persons artifact id.
Item 5 organization chart artifact ID (required)
organizationChartArtifactIdEnter item 5 organization chart artifact id.
Item 6 registered broker-dealer accounts artifact ID (required)
brokerDealerAccountsArtifactIdEnter item 6 registered broker-dealer accounts artifact id.
Step 6 of 6
ScreenSEC › SEC Workflows › Form 13H large-trader filingstep 6
Complete the Authorization fields. Each value is validated against the schema before the next step unlocks.
Authorized natural person (required)
authorizedPersonNameEnter authorized natural person.
Authorized person's title (required)
authorizedPersonTitleEnter authorized person's title.
Authorized signature artifact ID (required)
signatureArtifactIdEnter authorized signature artifact id.
Current EDGAR access and authorization evidence artifact ID (required)
edgarAccessEvidenceArtifactIdEnter current edgar access and authorization evidence artifact id.
Continue with the next guide in this framework's table of contents.
Mandatory initial statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory statement of changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory annual statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide