Form 13H Reminder
As per SEC Rule 13h-1, all registered “Large Traders” must submit a Form 13H Annual Filing by Friday, February 14 2014; 45 days after the end of a full calendar year. Rule 13h-1 defines a Large Trader as a person or entity whose transactions in NMS securities equal or exceed (a) 2 million shares or shares with a fair market value of $20 million during any calendar day, or (b) 20 million shares or shares with a fair market value of $200 million during any calendar month, in aggregate.
Please note that amendments to Form 13H must be filed promptly following the end of a calendar quarter in the event that any of the information contained in a Form 13H filing becomes inaccurate for any reason.
For those advisers not currently registered as Large Traders, please note that you may be required to do so (within 10 days) if you effect aggregate transactions equal to or greater than the above stated activity levels.