Form 13F requires you to file a specifically-formatted spreadsheet with values defined by the SEC, such as shares, principal amount, investment discretion, and more. Reference the SEC’s Form 13F documentation for more information on these values as well as the Official List of Section 13(f) Securities Users document.
Form 13F requirements
The spreadsheet you file for a 13F-HR or Combined must contain specific information or values. The following are some simple guidelines that may help you fill out your spreadsheet.
- For the SH or PRN column, enter either "SH" for shares or “PRN” for principal amount.
- PUT or CALL column, if required, should contain either the string “PUT” or “P”, or “CALL” or “C”.
- Investment Discretion must contain either "SOLE", “DEFINED” (or “SHARED-DEFINED”), or “OTHER” or (“OTH”).
- Other Managers, if required, should be an index number matching the value in the Other Managers section. If you need to report a holding with multiple other managers, separate the index numbers with a comma - such as “1,2,3”.
NOTE: Workiva currently only validates the length of the CUSIP number. It does not validate CUSIP numbers, names, or descriptions against the SEC's published List of Section 13F Securities at this time.
You can contact Workiva Support to receive the template for this spreadsheet, which you can then fill out with your specific information.
File a 13F
When you’re ready to file your 13F, you’ll need to create a new filing. If you’re filing a 13F Notice, choose 13F-NT for your filing type, otherwise choose 13F-HR.
In a 13F-HR filing, you will need to add your completed spreadsheet on the Collect step then click Next.
In both 13F-HR and 13F-NT filings, fill out Form Information about the filing. Make sure to advance using the Next button in the bottom right, to ensure you fill out all pages of Form Information.
After you’ve addressed any filing warnings that may have appeared, you are ready to Test File your project. Once you’ve successfully test filed, you can proceed to Live File.