A Schedule 13G is an SEC filing that must be submitted by any person or entity that beneficially owns more than 5% of a company's outstanding securities, and intends to hold those securities for the long-term (i.e. for investment purposes, as opposed to short-term trading).
The Schedule 13G must include information such as the filer's name, address, and percentage of ownership, as well as the nature of their ownership (e.g. sole, joint, or group ownership).
The Schedule 13G is similar to a Schedule 13D, but has a shorter filing deadline (45 days after the end of the calendar year, versus 10 days for a Schedule 13D) and requires less disclosure. What SEC filing shows ownership? The SEC filing that shows ownership is the Form 3, which is filed by insiders of a company who own more than 10% of the company's stock.
Does 13G apply to ETFs? 13G is a rule promulgated by the U.S. Securities and Exchange Commission (SEC) that requires institutional investors who hold more than 5% of a voting class of a company's equity securities to file a Schedule 13G within 45 days of the end of the calendar year.
The rule applies to all institutional investors, including investment companies, investment advisers, and broker-dealers. However, the rule does not apply to registered investment companies that file reports pursuant to section 13 of the Investment Company Act of 1940.
In general, the rule requires institutional investors to disclose their ownership stake, contact information, and investment intentions. However, the rule does not require institutional investors to disclose their trading strategies or investment objectives.
Is a spouse a beneficial owner?
A spouse is not automatically a beneficial owner, but may be considered a beneficial owner if they meet the definition under the securities laws. A beneficial owner is an individual who, directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise, has or shares voting power or investment power with respect to a security.
What is a 13G used for?
A 13G is a filing with the Securities and Exchange Commission (SEC) that must be made by any person or entity that acquires more than 5% of a company's shares. The purpose of the 13G filing is to provide transparency into who owns a company's shares, and to disclose any potential conflicts of interest that may exist.
What is a 13F HR filing? A 13F HR filing is a filing with the Securities and Exchange Commission (SEC) that is required of institutional investment managers that exercise investment discretion over $100 million or more in certain equity securities. The filing lists the managers' holdings as of the end of the most recent quarter.