Understanding 13F securities
In this guide, we'll explain what 13F securities are and what you can expect to find in a typical filing. For a broader overview, read our Form 13F explainer.
What Are 13F Securities?
13F securities are investments that appear on the U.S. Securities and Exchange Commission's Official List of Section 13(f) Securities.
Institutional investment managers that are required to file Form 13F report their holdings in these eligible securities each quarter.
The list is maintained by the SEC and is updated periodically.
What Types of Securities Are Included?
A Form 13F commonly includes:
- U.S. exchange-listed stocks
- Exchange-traded funds (ETFs)
- Certain equity options
- Convertible securities
- Closed-end funds
Only securities that appear on the SEC's official Section 13(f) list are generally reportable on Form 13F.
What Isn't Included?
Not every investment held by an institution appears in a 13F filing.
For example, certain asset types and securities that aren't on the SEC's Section 13(f) list generally aren't reported on Form 13F.
Because of this, a 13F should be viewed as a partial snapshot of an investment manager's reportable holdings rather than a complete picture of its entire portfolio.
Why Does the List Matter?
The official Section 13(f) list determines which securities institutional investment managers must report.
This helps create a standardized reporting system, allowing investors to compare filings across different institutions more easily.
Where Can You Find the Official List?
The SEC publishes the Official List of Section 13(f) Securities, which is updated on a regular basis.
If you're unsure whether a particular security is reportable on Form 13F, checking the latest version of the official list is the most reliable way to confirm.
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