In the capital and securities market, there are many different types of forms and documents used. One important form is the SEC Form 13-NFT. If you are reading this, chances are you want to know what this form is. In that respect, this article describes this important federal document in-depth. It entails the definition of the SEC Form 13-NFT form and what this form consists of.
SEC Form 13F-NT Definition
SEC Form 13f-NT is a quarterly report filed by institutional investment managers to the SEC in accordance to SEC regulations. In this case, SEC stands for “Securities and Exchange Commission.” In the United States, this is an independent federal agency that is charged with protecting investors, maintaining fair as well as orderly functioning of securities markets and aiding capital formation.
SEC Form 13F-NT Components
This form consists of three parts:
- The Cover Page—this includes the calendar year or quarter ended, amendment details if there are some, as well as name and address of the institutional investment manager filing the report. It also includes the name, title and phone number of the person singing this report on behalf of the reporting manager. Lastly, the page also comprises names, titles, and phone numbers of other managers reporting for this manager.
- The Information Table—this consists of eight columns into which various details are entered. Columns 1, 2, 3 and 4 have the name of security issuers, the title of each class of security, CUSIP and the values of the securities respectively. Columns 5, 6,7 and 8, on the other hand, require share or PRN amount, investment discretion, other managers and voting authority(sole, shared or none) respectively.
- The Summary Page—this page literally summarizes the entire document. It condenses the entire information, including Form 13 F information table entry total, down to a few paragraphs.
Final Thoughts
The SEC Form 13F-NT is an important report that some institutional investment managers will have to file with the Securities Exchange Commission quarterly. It is a requirement by the federal government that all institutional managers that manage equity assets of at least $100 million in value fill and submit this form to the SEC according to the number of times stipulated by the law.