Do I follow the same steps (outlined in FAQ 58b) to amend my Form 13F filing when either: (i) my confidential treatment request was denied; or (ii) confidential treatment has expired?
Generally yes, but with two exceptions. First, you must always check the box that designates the amendment as adding new holdings. Second, you must include the legend set forth in Confidential Treatment Instruction 4 to Form 13F [Adobe Acrobat® (PDF) file] at the top of the Cover Page. See FAQ 58 (above). Remember, the institutional investment manager that filed the original Form 13F must file the amendment. The amended filing will supplement the original filing. Multiple amendments are not only permitted, but often required. For example, if your confidential treatment request is partially denied and partially granted, you must file two separate amendments. • Amendment number one must list only the holdings for which confidential treatment was denied, and include the legend in Confidential Treatment Instruction 4 to Form 13F [Adobe Acrobat® (PDF) file] explaining that confidential treatment was denied. • Amendment number two must list only the holdings for which confidential treatment
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