Follow the steps laid out in this article to submit the 13F report using the Filing Manager Service.

First, navigate to the 13F result in Shareholding Disclosure. Once there, click the Generate Documents button.

The downloaded folder will contain the following four files:

Please review the above files before proceeding to ensure the report is accurate.

Once you are ready to submit via the Filing Manager, select the Send Filings dropdown and then choose Filing Manager.

You will be taken to the Filing Manager SEC screen. Click on Upload and select the 13F_Entity_HR_date.XML file.

Before submitting your 13F, your EDGAR Next credentials are required for the Filing Manager. Please reference the instructions in this article on how to add the new EDGAR Next API tokens in the Settings icon.

Click Send once all the relevant XML files and credentials are populated.

The Filing Manager will then update the submission status to Filed or Rejected by Regulator, depending on the response from the SEC. Your correspondent disclosure result in the Shareholding Disclosure will not be updated, as we don’t yet support the automatic status update between Filing Manager and the 13F result.

Please ensure that you return to the Shareholding Disclosure screen and manually mark the 13F position as Filed once confirmation is received.

If you would like to TEST your submission first, to ensure your data is accurate. Following the SEC validation guidelines, you can change the Live/Test flag in the XML.