Atalaya Capital Management LP stock holdings and annual report by SEC Form 13f filings Mar, 2024 (2024)

FAQs

Where can I find Form 13F filings? ›

You can search for and retrieve Form 13F filings using the SEC's EDGAR database. To find the filings of a particular money manager, enter the money manager's name in the Company Name field. To see all recently filed 13Fs, use the "Latest Filings" search function and enter "13F" in the Form Type box.

The Form 13F filing deadline is 45 days after the end of each quarter. The forms are released to the public through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Q: Who must file Form 13F? A: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F.

The Securities and Exchange Commission's (SEC) Form 13F is a quarterly report that is required to be filed by all institutional investment managers with at least $100 million in assets under management. It discloses their equity holdings and can provide insights into what the smart money is doing in the market.

Form 13F is a quarterly report that certain “institutional investment managers” must file if they exercise “investment discretion” with respect to accounts holding “Section 13(f) securities” (generally US publicly traded securities) having an aggregate value of at least $100 million.

The public can review SEC filings by visiting the commission's online database, EDGAR. Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13, Form 114, and Foreign Investment Disclosures.

Form 13F is a quarterly report filed, per United States Securities and Exchange Commission regulations, by "institutional investment managers" with control over $100M in assets to the SEC, listing all equity assets under management.

Do Private Investors Have to File With the SEC? Under most circ*mstances, private investors don't have to file their own 13F forms. If you're a private citizen and you don't invest on behalf of another person or legal entity, you probably don't fall within the SEC's definition of an "institutional investment manager".

Private equity funds holding equity securities in public companies may have additional reporting requirements, including Schedules 13D or G, Form 13F, and Form 13H. Funds that acquire more than 5% of a class of public equity must file a Schedule 13D.

Generally, the SEC does not bring cases for failing to file the Form 13F. There was a famous case brought in 2007 against an investment adviser who was fined $100,000 for failing to make 13F filings for three years.

What is the new rule for 13F? ›

On Oct. 13, 2023, the SEC adopted new rule 13f-2 (“Rule 13f-2”) of the Securities Exchange Act of 1934, as amended (“Exchange Act”). [1] Rule 13f-2 requires institutional investment managers to report equity security short positions to the SEC on new Form SHO.

Form 13F is required reporting for institutional investment managers in order to increase public information regarding securities holdings. It is part of the SEC's EDGAR system and must be filed quarterly.

Form 13F. Investment advisers who exercise investment discretion over “Section 13(f) securities” (generally equity securities of public companies) are required to file quarterly reports with the SEC on Form 13F within 45 days of each quarter-end.

Form 13Ds are similar to 13Fs but are more stringent; an investor with a large stake in a company must report all changes in that position within just 10 days of any action, meaning that it's much easier for outsiders to see what's happening much closer to real time than in the case of a 13F.

Form 13F is mandatory for institutional investment managers who manage assets of at least $100 million and requires quarterly reporting. On the other hand, Schedule 13G is triggered when an investor acquires beneficial ownership of more than 5% of a class of equity securities.

Form 13F was adopted pursuant to statutory directive designed to increase the public availability of information regarding the securities holdings of larger institutional investors.

Unlike the Advisers Act, Section 13(f) does not exempt family offices: with the result that a family office, even if it is exempt from registration under the Advisers Act, may nevertheless be an "institutional investment manager" for purposes of Section 13(f) and, therefore, be required to comply with the Form 13F ...

It should be noted that funds are only required to report their long positions, put and call options, American Depositary Receipts (ADRs) and convertible notes in their 13F filings. Investments such as bonds, foreign equities and short positions do not have to be reported.

Forms 3, 4, and 5 are publicly available through the SEC's EDGAR database at www.sec.gov/ edgar/searchedgar/webusers. htm. In addition to the SEC's EDGAR database, there also are many third-party websites that offer insider ownership and transaction information.