Form 13F-NT, 13F-NT_A

Field NameDescriptionData Type
filing_dateDate submission was received by EDGAR.Date (String)
acceptedIndicates "Acceptance Date" and "Acceptance Time," the timestamp when EDGAR accepted the submission.Datetime (String)
documentThe number of individual documents included in the filing, as outlined in submission type details (implied in EDGAR templates)Integer
report_periodDate representing the period covered by the report (e.g., end of fiscal quarter).Date (String)
effectiveness_dateOfficial date a registration statement becomes effectiveDate (String)
document_filesNames of submitted file(s), e.g. .txt, .htm, .pdf. These are the primary/instance documents in the EDGAR submission.URL
business_nameThe registered company name maintained in the EDGAR company data (conformed name).Text (String)
business_addressAddress field pre-populated from the EDGAR “Company Information” — defined as “business-address.”Text (String)
mailing_addressAddress field pre-populated from EDGAR company data for mailing, defined as “mail-address.”Text (String)
schema_locationThe Uniform Resource Identifier (URI) that identifies the location of the XML Schema Definition (XSD) for the 13F form. This tells the parser how to validate the XML structure.Text (String)
schema_versionDenotes the exact revision number of the XML schema used. This is vital for the SEC to maintain backwards compatibility and correctly interpret filings made using different software versions over time.Text (String)
document_typeThe specific form being filed. It must be 13F-NT (Initial Notice) or 13F-NT/A (Amended Notice).Text (String)
livetest_flagA flag indicating whether the filing is a “LIVE” submission (i.e., intended for dissemination) or a “TEST” submission (for testing purposes). (Analogous to the test/live indicator in EDGAR XML filings)Text (String)
flagsA legacy field. The manual states it is "Reserved for future use." It is typically omitted or empty in modern filings.String
confirming_copy_flagA legacy flag. If a document was filed electronically, but a paper copy was also required to be mailed in (e.g., due to a hardship exemption), this flag confirms the subsequent paper copy transmission.Boolean
return_copy_flagA flag used to request a physical or electronic copy of the filing be sent back to the filer after successful processing. Primarily an administrative/legacy function.Boolean
filing_website_notice_flagA flag confirming whether the filer is complying with requirements to make the filing available on their own corporate website, usually by the end of the day of the SEC filing.Boolean
filer_cikThe Central Index Key. This unique 10-digit number is the SEC's official, permanent identification for the individual or group (the "Reporting Person") who is beneficially owning the shares.Number (String)
filer_cccThe CIK Confirmation Code. A unique, confidential code that the filer must use in combination with the CIK to log into the EDGAR system and submit a document.String
report_periodThe crucial date that defines the period for which the beneficial ownership is being reported—specifically, the date on which the reporting person first crossed the 5% beneficial ownership threshold.Date
report_calendar_or_quarter_endedSpecifies the fiscal period, indicating whether the report is for a calendar year or a specific fiscal quarter end date.Date
is_amendmentA boolean flag (true/false) stating whether the current filing is an amendment to a previously filed report.Boolean
amendment_numberA sequential number indicating which amendment this is (e.g., 1 for the first amendment, 2 for the second).Integer
amendment_type_restatementA flag indicating that the amendment is a complete restatement of the original filing, superseding it in its entirety.Boolean
amendment_type_new_holdingsIf true, this amendment is being filed to report holdings that were omitted from the original report.Boolean
confidentiality_denied_or_expiredIndicates that a previously requested treatment of the filing as confidential is no longer in effect, either because it was denied by the SEC or the confidentiality period has expired.Boolean
filing_manager_nameThe name of the individual at the investment firm responsible for the filing.Text (String)
filing_manager_address_street1The primary street address of the filing manager.Text (String)
filing_manager_address_street2The secondary street address line (e.g., suite number, floor).Text (String)
filing_manager_address_cityThe city of the filing manager's address.Text (String)
filing_manager_address_state_or_countryThe state or country of the filing manager's address.Text (String)
filing_manager_address_zip_codeThe postal code of the filing manager's address.Number (String)
report_typeSpecifies the type of 13F report. For the XML form, this is "13F-NT" (Notice). The other type is "13F-HR" (Holdings Report).Text (String)
form_13F_file_numberThe unique file number assigned to the manager by the SEC upon their initial Form 13F filing.Number (String)
crd_numberThe CRD Number is a unique identifier assigned by FINRA to broker-dealers and investment advisers. Many filing managers have one.Number (String)
sec_file_numberAn SEC File Number (e.g., 801-) is another identifier for investment advisers registered with the SEC.Number (String)
instruction_5_info_providedInstruction 5 allows a manager to combine its report with one or more affiliates. This flag indicates if the manager's own report is included in another manager's combined filing.Boolean
additional_informationA free-text field for any clarifying notes or administrative details not covered elsewhere.Text (String)
other_manager_form_13F_file_numberThe 13F file number of another manager for whom this report is being filed (e.g., in a complex corporate structure).Number (String)
other_manager_crd_numberThe CRD number of the other manager.Number (String)
other_manager_sec_file_numberThe SEC file number of the other manager.Number (String)
other_manager_nameThe name of the other manager.Text (String)
other_manager_cikThe CIK of the other manager.Number (String)
signatory_nameThe name of the person signing the form.Text (String)
signatory_titleThe official title or capacity of the person signing the form.Text (String)
signatory_phoneThe phone number of the signatory.Text (String)
signatory_signatureThe name of the signatory, which acts as their digital signature.Text (String)
signatory_cityThe city where the signatory signed the form.Text (String)
signatory_state_or_countryThe state or country where the signatory signed the form.Text (String)
signature_dateThe date the form was signed.Date

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