WebAll “large traders” must file Form 13H. A “large trader” is defined as a person whose transactions in exchange-listed securities equal or exceed two million shares or $20 … WebJan 21, 2012 · The initial filing (Form 13H) is required to be filed within 10 days of crossing the transaction threshold outlined above. After submitting this filing, the trader is given a …
Form 13H Filing Service SEC EDGAR - Newsfile Corp
WebThe LTID is a unique identifier assigned by the Securities and Exchange Commission (SEC) to large traders to monitor their trading activity and prevent market manipulation. The Securities Exchange Act of 1934 established the LTID system, which requires large traders to register with the SEC and file initial Form 13H filings to obtain their LTID. WebDec 7, 2011 · Form 13H requires disclosures relating to six items: (1) the business of the Large Trader and each affiliate that exercises investment discretion over NMS securities (a “Securities Affiliate”); (2) other forms filed with the SEC by the Large Trader or any of its Securities Affiliates; (3) information regarding whether the Large Trader or its … msmdsrv メモリ
Form 13H - SEC
WebAug 2, 2011 · Form 13H will require (i) the name and contact information of the Large Trader and its authorized person, (ii) the businesses of the Large Trader and each affiliate that exercises investment discretion over NMS securities (a “Securities Affiliate”), (iii) the names of any forms that the Large Trader and its Securities Affiliates file with the … WebAug 2, 2011 · Form 13H is a short, simple form that is filed electronically through EDGAR. Persons who do not already have an SEC filing access code must first apply for one by filing Form ID. If the Large Trader is filing on a voluntary basis, it may file Form 13H at any time and thereby reduce the need to actively monitor its trading levels. WebIndicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). msmr マツダ