Form 13F Data Sets
Contents
6.1 U.S.
State/Country Codes and Descriptions.
Form
13F was adopted pursuant to statutory directive designed to provide the
Commission with data from larger managers about their investment activities and
holdings. The FORM 13F data sets are extracted from EDGAR FORM 13F XML filings
in a flat file format to assist users in constructing the data for analysis.
The data will be published quarterly. Data contained in documents filed after
5:30pm EST on the last business day of the quarter will be included in the next
quarterly posting.
The following table lists the submission types for EDGAR FORM 13F filings which are included in the data sets.
|
SUBMISSION TYPE |
DESCRIPTION |
|
13F-HR |
Initial Quarterly Form 13F Holdings Report filed by institutional managers |
|
13F-HR/A |
Amendment to a Quarterly Form 13F Holdings Report filed by institutional managers |
|
13F-NT |
Initial Quarterly Form 13F Notice Report filed by institutional managers |
|
13F-NT/A |
Amendment to a Quarterly Form 13F Notice Report filed by institutional managers |
DISCLAIMER: The FORM 13F data sets contain information derived from structured data filed with the Commission by individual registrants as well as Commission-generated filing identifiers. Because the data is derived from information provided by individual registrants, we cannot guarantee the accuracy of the data. In addition, it is possible inaccuracies or other errors were introduced into the data during the process of extracting the data and compiling. Finally, the data does not reflect all available information, including certain metadata associated with Commission filings. The data is intended to assist the public in analyzing data contained in Commission filings; however, it is not a substitute for such filings. Investors should review the full Commission filings before making any investment decision.
The EDGAR Form 13F Data Set consists of XML data submitted from MAY 2013 through current period.
Note: EDGAR Technical Specifications provides information on FORM 13F XML Technical Specifications.
Note that the data includes FORM 13F EDGAR information "as filed" in EDGAR document submissions including amendments of prior submissions. Data in this submitted form may contain redundancies, inconsistencies, and discrepancies relative to prior submissions and other publication formats. There are up to seven (7) data files. Each quarterly data set is accompanied by a metadata file conforming to the W3C specification for tabular data (https://www.w3.org/TR/2015/REC-tabular-data-model-20151217/) that encodes the following information about the data files and their relationships to each other.
1. SUBMISSION identifies the XML submissions, filer and report information, with
each row having the primary key
ACCESSION_NUMBER.
2. COVERPAGE provides details of the cover page with each row having ACCESSION_NUMBER as the key.
3. OTHERMANAGER contains the lists of other managers reporting for this manager
information with each row having ACCESSION_NUMBER
and OTHERMANAGER_SK as the keys.
4. SIGNATURE provides the signature information with each row having ACCESSION_NUMBER as the key.
5. SUMMARYPAGE contains the Summary page information with each row having ACCESSION_NUMBER as the key.
6. OTHERMANGAER2
provides the list of other managers included in this report with
each row having ACCESSION_NUMBER as
the key.
7. INFOTABLE data contains the information table with each row having ACCESSION_NUMBER and INFOTABLE_SK as the primary keys.
Each of the seven (7) data files provide text format, tab delimited, UTF-8 encoding.
The fields in the tables below provide the following information: field name, description, data format, maximum field size, an indication of whether or not the field may be NULL (yes or no), and key.
The Key field indicates whether the field is part of a unique index on the data. There are two possible values for this field:
· "*" Indicates the field is part of the unique key for the row.
· Empty (nothing in field) means the field is not part of the unique compound key.
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR
submission. |
VARCHAR2(25) |
No |
* |
|
FILING_DATE |
Filing date with the Commission; sourced from EDGAR in (DD-MON-YYYY)
format. |
DATE |
No |
|
|
SUBMISSIONTYPE |
Submission type is either an initial quarterly Form 13F
holdings report, notice report or the amendment. |
VARCHAR2(10) |
No |
|
|
CIK |
Filer CIK (Central index key). |
VARCHAR2(10) |
No |
|
|
PERIODOFREPORT |
Period of report in (DD-MON-YYYY) format. |
DATE |
No |
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR
submission. |
VARCHAR2(25) |
No |
* |
|
REPORTCALENDARORQUARTER |
Report for the calendar year of quarter ended in (DD-MON-YYYY)
format. |
DATE |
No |
|
|
ISAMENDMENT |
Check here if amendment |
CHAR(1) |
Yes |
|
|
AMENDMENTNO |
Amendment number |
NUMBER(2) |
Yes |
|
|
AMENDMENTTYPE |
Amendment type is a restatement or adds new holdings
entries. |
VARCHAR2(20) |
Yes |
|
|
CONFDENIEDEXPIRED |
Whether confidential treatment request is denied or
expired. |
CHAR(1) |
Yes |
|
|
DATEDENIEDEXPIRED |
Pursuant to a request date when confidential treatment
expired or denied in
(DD-MON-YYYY) format. |
DATE |
Yes |
|
|
DATEREPORTED |
Date securities holdings reported pursuant to a request
for confidential treatment in (DD-MON-YYYY) format. |
DATE |
Yes |
|
|
REASONFORNONCONFIDENTIALITY |
Reason for non-confidentiality: denied or confidential
treatment expired. |
VARCHAR2(40) |
Yes |
|
|
FILINGMANAGER_NAME |
Filing manager name. |
VARCHAR2(150) |
No |
|
|
FILINGMANAGER_STREET1 |
Filing manager address street name - first line. |
VARCHAR2(40) |
Yes |
|
|
FILINGMANAGER_STREET2 |
Filing manager address street name - second line. |
VARCHAR2(40) |
Yes |
|
|
FILINGMANAGER_CITY |
Filing manager primary city. |
VARCHAR2(30) |
Yes |
|
|
FILINGMANAGER_STATEORCOUNTRY |
Filing manager state or country name. |
CHAR(2) |
Yes |
|
|
FILINGMANAGER_ZIPCODE |
Filing manager zip code. |
VARCHAR2(10) |
Yes |
|
|
REPORTTYPE |
Report type: 13F holdings report; 13F notice; 13F
combination report. |
VARCHAR2(30) |
No |
|
|
FORM13FFILENUMBER |
FORM 13F file number. |
VARCHAR2(17) |
Yes |
|
|
CRDNUMBER |
CRD Number (if applicable) |
VARCHAR2(9) |
Yes |
|
|
SECFILENUMBER |
SEC File Number (if applicable) |
VARCHAR2(17 ) |
Yes |
|
|
PROVIDEINFOFORINSTRUCTION5 |
Do you wish to provide information pursuant to
instruction 5? |
CHAR(1) |
No |
|
|
ADDITIONALINFORMATION |
Additional information. |
VARCHAR2(4000) |
Yes |
|
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR
submission. |
VARCHAR2(25) |
No |
* |
|
OTHERMANAGER_SK |
Other manager surrogate key. |
NUMBER(38) |
No |
* |
|
CIK |
Central index key. |
VARCHAR2(10) |
Yes |
|
|
FORM13FFILENUMBER |
FORM 13F file number. |
VARCHAR2(17) |
Yes |
|
|
CRDNUMBER |
CRD Number (if applicable) |
VARCHAR2(9) |
Yes |
|
|
SECFILENUMBER |
SEC File Number (if applicable) |
VARCHAR2(17 ) |
Yes |
|
|
NAME |
Other manager name. |
VARCHAR2(150) |
No |
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR
submission. |
VARCHAR2(25) |
No |
* |
|
NAME |
Signatory name. |
VARCHAR2(150) |
No |
|
|
TITLE |
Signatory title. |
VARCHAR2(60) |
No |
|
|
PHONE |
Signatory phone number. |
VARCHAR2(20) |
Yes |
|
|
SIGNATURE |
Signature. |
VARCHAR2(150) |
No |
|
|
CITY |
Signatory city. |
VARCHAR2(30) |
No |
|
|
STATEORCOUNTRY |
Signatory state or country. |
CHAR(2) |
No |
|
|
SIGNATUREDATE |
Signature date in (DD-MON-YYYY) format. |
DATE |
No |
|
Field
Name |
Description |
Data
Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR
submission. |
VARCHAR2(25) |
No |
* |
|
OTHERINCLUDEDMANAGERSCOUNT |
Number of other included managers. |
NUMBER(3) |
Yes |
|
|
TABLEENTRYTOTAL |
Table entry total. |
NUMBER(6) |
Yes |
|
|
TABLEVALUETOTAL |
Table value total. |
NUMBER(16) |
Yes |
|
|
ISCONFIDENTIALOMITTED |
Is confidential omitted. |
CHAR(1) |
Yes |
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR submission. |
VARCHAR2(25) |
No |
* |
|
SEQUENCENUMBER |
Sequence number. |
NUMBER(3) |
No |
|
|
CIK |
Central index key. |
VARCHAR2(10) |
Yes |
|
|
FORM13FFILENUMBER |
FORM 13F file number. |
VARCHAR2(17) |
Yes |
|
|
CRDNUMBER |
CRD Number (if applicable) |
VARCHAR2(9) |
Yes |
|
|
SECFILENUMBER |
SEC File Number (if applicable) |
VARCHAR2(17 ) |
Yes |
|
|
NAME |
Other manager 2 name. |
VARCHAR2(150) |
No |
|
Field Name |
Description |
Data Type |
Nullable |
Key |
|
ACCESSION_NUMBER |
Unique identifier assigned by the SEC to each EDGAR submission. |
VARCHAR2(25) |
No |
* |
|
INFOTABLE_SK |
Info table surrogate key. |
NUMBER(38) |
No |
* |
|
NAMEOFISSUER |
Name of issuer. |
VARCHAR2(200) |
No |
|
|
TITLEOFCLASS |
Title of class. |
VARCHAR2(150) |
No |
|
|
CUSIP |
CUSIP number of security. |
CHAR(9) |
No |
|
|
FIGI |
Financial Instrument Global Identifier (FIGI) |
VARCHAR2(12) |
Yes |
|
|
VALUE |
Market value. Starting on January 3, 2023, market value is
reported rounded to the nearest dollar.
Previously, market value was reported in thousands. |
NUMBER(16) |
No |
|
|
SSHPRNAMT |
Number of shares or principal amount. |
NUMBER(16) |
No |
|
|
SSHPRNAMTTYPE |
Shares (SH) or principal amount (PRN) type. |
VARCHAR2(10) |
No |
|
|
PUTCALL |
PUT/CALL. |
VARCHAR2(10) |
Yes |
|
|
INVESTMENTDISCRETION |
Investment discretion. |
VARCHAR2(10) |
No |
|
|
OTHERMANAGER |
Sequence number of other manager included in report with
whom discretion is shared. |
VARCHAR2(100) |
Yes |
|
|
VOTING_AUTH_SOLE |
Voting authority sole. |
NUMBER(16) |
No |
|
|
VOTING_AUTH_SHARED |
Voting authority shared. |
NUMBER(16) |
No |
|
|
VOTING_AUTH_NONE |
Voting authority none. |
NUMBER(16) |
No |
|
AL ALABAMA
AK ALASKA
AZ ARIZONA
AR ARKANSAS
CA CALIFORNIA
CO COLORADO
CT CONNECTICUT
DE DELAWARE
DC DISTRICT OF COLUMBIA
FL FLORIDA
GA GEORGIA
GU GUAM
HI HAWAII
ID IDAHO
IL ILLINOIS
IN INDIANA
IA IOWA
KS KANSAS
KY KENTUCKY
LA LOUISIANA
ME MAINE
MD MARYLAND
MA MASSACHUSETTS
MI MICHIGAN
MN MINNESOTA
MS MISSISSIPPI
MO MISSOURI
MT MONTANA
NE NEBRASKA
NV NEVADA
NH NEW HAMPSHIRE
NJ NEW JERSEY
NM NEW MEXICO
NY NEW YORK
NC NORTH CAROLINA
ND NORTH DAKOTA
OH OHIO
OK OKLAHOMA
OR OREGON
PA PENNSYLVANIA
RI RHODE ISLAND
SC SOUTH CAROLINA
SD SOUTH DAKOTA
TN TENNESSEE
TX TEXAS
UT UTAH
VT VERMONT
VA VIRGINIA
WA WASHINGTON
WV WEST VIRGINIA
WI WISCONSIN
WY WYOMING
PR PUERTO RICO
VI VIRGIN ISLANDS, U.S.
A0 ALBERTA, CANADA
A1 BRITISH COLUMBIA, CANADA
Z4 CANADA (FEDERAL LEVEL)
A2 MANITOBA, CANADA
A3 NEW BRUNSWICK, CANADA
A4 NEWFOUNDLAND, CANADA
A5 NOVA SCOTIA, CANADA
A6 ONTARIO, CANADA
A7 PRINCE EDWARD ISLAND, CANADA
A8 QUEBEC, CANADA
A9 SASKATCHEWAN, CANADA
B0 YUKON, CANADA
B2 AFGHANISTAN
Y6 ALAND ISLANDS
B3 ALBANIA
B4 ALGERIA
B5 AMERICAN SAMOA
B6 ANDORRA
B7 ANGOLA
1A ANGUILLA
B8 ANTARCTICA
B9 ANTIGUA AND BARBUDA
C1 ARGENTINA
1B ARMENIA
1C ARUBA
C3 AUSTRALIA
C4 AUSTRIA
1D AZERBAIJAN
C5 BAHAMAS
C6 BAHRAIN
C7 BANGLADESH
C8 BARBADOS
1F BELARUS
C9 BELGIUM
D1 BELIZE
G6 BENIN
D0 BERMUDA
D2 BHUTAN
D3 BOLIVIA
1E BOSNIA AND HERZEGOVINA
B1 BOTSWANA
D4 BOUVET ISLAND
D5 BRAZIL
D6 BRITISH INDIAN OCEAN TERRITORY
D9 BRUNEI DARUSSALAM
E0 BULGARIA
X2 BURKINA FASO
E2 BURUNDI
E3 CAMBODIA
E4 CAMEROON
E8 CAPE VERDE
E9 CAYMAN ISLANDS
F0 CENTRAL AFRICAN REPUBLIC
F2 CHAD
F3 CHILE
F4 CHINA
F6 CHRISTMAS ISLAND
F7 COCOS (KEELING) ISLANDS
F8 COLOMBIA
F9 COMOROS
G0 CONGO
Y3 CONGO, THE DEMOCRATIC REPUBLIC OF THE
G1 COOK ISLANDS
G2 COSTA RICA
L7 COTE D'IVOIRE
1M CROATIA
G3 CUBA
G4 CYPRUS
2N CZECH REPUBLIC
G7 DENMARK
1G DJIBOUTI
G9 DOMINICA
G8 DOMINICAN REPUBLIC
H1 ECUADOR
H2 EGYPT
H3 EL SALVADOR
H4 EQUATORIAL GUINEA
1J ERITREA
1H ESTONIA
H5 ETHIOPIA
H7 FALKLAND ISLANDS (MALVINAS)
H6 FAROE ISLANDS
H8 FIJI
H9 FINLAND
I0 FRANCE
I3 FRENCH GUIANA
I4 FRENCH POLYNESIA
2C FRENCH SOUTHERN TERRITORIES
I5 GABON
I6 GAMBIA
2Q GEORGIA
2M GERMANY
J0 GHANA
J1 GIBRALTAR
J3 GREECE
J4 GREENLAND
J5 GRENADA
J6 GUADELOUPE
J8 GUATEMALA
Y7 GUERNSEY
J9 GUINEA
S0 GUINEA-BISSAU
K0 GUYANA
K1 HAITI
K4 HEARD ISLAND AND MCDONALD ISLANDS
X4 HOLY SEE (Vatican City STATE)
K2 HONDURAS
K3 HONG KONG
K5 HUNGARY
K6 ICELAND
K7 INDIA