How do I amend my Form 13F filing if there is an error (e.g., number of shares or fair market value misstated) on my original, public Form 13F filing?
Note: FAQ 58c explains how to amend your Form 13F filing when certain reportable securities are not listed on your original, public Form 13F filing. A: The institutional investment manager that filed the original Form 13F must file the amendment. On the Cover Page, you restate the original calendar quarter for which the report was filed, and check the box that designates the subsequent filing as an amendment. You should also assign a number to the amendment (e.g., one for the first amendment, two for the second amendment, and so on) in order to distinguish between different amendments. If your original filing includes incorrect information, you should correct any error(s) and file an amendment. In your amendment, you can either resubmit your entire filing, as corrected, or limit the amendment to the corrected information. If you resubmit the entire filing, your amended filing will supersede your original filing. On the Cover Page, you should check only the box that designates the amend
Related Questions
- 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?
- How do I amend my Form 13F filing if there is an error (e.g., number of shares or fair market value misstated) on my original, public Form 13F filing?
- When did Newalta become an income fund, and what was the fair market value of its common shares on the date of conversion?
