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Filing Types

13D
This Schedule discloses beneficial ownership of certain registered equity securities. Any person or group of persons who acquire a beneficial ownership of more than 5% of a class of registered equity securities of certain issuers must file a Schedule 13D reporting such acquisition together with certain other information within ten days after such acquisition. Moreover, any material changes in the facts set forth in the Schedule generally precipitates a duty to promptly file an amendment on Schedule 13D.
13G
Schedule 13G is a much abbreviated version of Schedule 13D that is only available for use by a limited category of "persons" (such as banks, broker/dealers, and insurance companies) and even then only when the securities were acquired in the ordinary course of business and not with the purpose or effect of changing or influencing the control of the issuer.

Institution Portfolios

Ownership sources included in this filing type are: 13F, Aggregates, and Shareholder Report.
Form 13F
Quarterly report of equity holdings filed with the SEC by institutional investment managers having equity assets under management of $100 million or more. Included in this category are certain banks, insurance companies, investment advisors, investment companies, foundations and pension funds. Non U.S. institutional investment managers are required to file a Form 13F if they use any means or instrumentality of United States interstate commerce in the course of their business; and (2) exercise investment discretion over $100 million or more in Section 13(f) securities.
Aggregate
Institutional position derived from cumulative mutual fund holdings. An Aggregate position may represent only a portion of total shares held and while not a regulatory filing per se, is formulated based on filing data.
Shareholder Reports
Complete portfolio holdings supplied directly to Thomson Financial or obtained through other means, e.g. investor website or annual report.

Other Declarable Stakes

Ownership sources included in this filing type are Substantials, Early Warning Reports, Alternative Monthly Statements, 10K, and 20F.
Substantials
Ownership data on non U.S.traded obtained on through a number of sources including, but not limited to, the media and official company-issued statements.
Early Warning Reports
An initial declarable stakes report required when an investor acquires 10% or more of a class of securities (within 2 business days of the transaction). An update is required when the percentage held increases or decreases by 2% or more, or when the percentage held falls below the 10% reporting threshold (again, within 2 business days).
Alternative Monthly Reports
Essentially the same declarable stakes report as the Early Warning, except that the type of investors who are allowed to use this filing is limited to "eligible institutional investors" (investment managers, mutual funds, pension funds, etc). An initial report is required within 10 days after the end of the month in which an investor acquires 10% or more of a class of securities. An update is required within 10 days after the end of the month in which the percentage held increases or decreases by 2.5%, or when the percentage held falls below the 10% reporting threshold.
The difference between those two types of filings in Canada is roughly similar to the difference between 13Ds and 13Gs in the US. The Alternative Monthly Report (13G) is am abbreviated version of the Early Warning Report (13D) that only certain filers are allowed to use.
10K
Ownership positions obtained from company annual reports filed with the SEC.
20F
Ownership positions obtained from foreign private issuer annual or transition report filed with the SEC.
Proxy
Ownership positions listed on a U.S. company’s annual proxy statement that lists holdings of owners over 10% as well as shares held by directors, officers, and some board members.
Proxy-CA
Ownership positions listed on a Canadian company’s annual proxy statement that lists holdings of shareholders.
Insider update
Position calculated using Form 4 holdings that have a more recent date than the proxy (13f, 13D/G) position.
Japanese 5% Shareholders
Any individuals or institutions that hold more than 5% of the total shares outstanding of Japanese listed companies. These holders have to report to local financial bureaus that are under control of the Ministry of Finance within 5 business days. If there is 1% or more of an increase/decrease in shares held after the submission, they must submit a subsequent report within 5 business days from the date of the change.
Registers
Shareholder positions in U.K.listed companies supplied to the company registrar by the registered owner. Disclosure is made in compliance with the UK Companies Act, an Act of the UK Parliament and this data is available to the public, including Thomson Financial to purchase or view. Included in this filing type are S212 and S213 filings.
RNS
Investor purchases, sales, and holdings changes resulting from mergers, takeovers, or buybacks of U.K. listed companies and announced on the Regulatory News Service (RNS), the London Stock Exchange’s official news outlet.

Insider Filings

SEC Forms 3, 4, 5, and 144 as well as RNS filings by Directors
Form 3
Initial Statement of Ownership. Form 3 is filed only once by an insider, for each company that he or she is affiliated with, and is usually filed within ten (10) days of the company going public, and/or within 10 days of an insider being appointed an executive officer or director.
Form 4
Statement of Changes in Beneficial Ownership. Form 4 is required any time there is an open market purchase, sale, or an exercise of options. It must be filed by the 10th of the month following the transaction and contains the details of all nonexempt transactions that exceed $10,000 during that month.
Form 5
Annual Statement of Changes in Beneficial Ownership. This form is required to be filed annually for those insiders who have had exempt transactions and had not reported them previously on a Form 4. It must be filed within 45 days after the close of the issuer's fiscal year.
Form 144
Intention To Sell Restricted Securities. This form must be filed as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144 when the amount to be sold during any threemonth period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000.
RNS
Director purchases, sales, and holdings changes resulting from mergers, takeovers, or buybacks of U.K. listed companies and announced on the Regulatory News Service (RNS), the London Stock Exchange’s official news outlet.

Ownership Form

Indication by filer on Forms 3, 4, and 5 whether ownership is direct or indirect.
Direct Holdings
Shares that are held in the name of the insider.
Indirect Holdings
Shares that are controlled by the insider, yet are held by another entity such as a family member, a trust, a company plan, or even a corporation to which the insider is affiliated. In many cases, the same block of indirect stock may be claimed by several insiders, such as a group of trustees over the same trust, or several partners in the same partnership.
Funds
Mutual funds, hedge fund portfolios, unit trusts, investment trusts, variable annuities, and other portfolios organized for retail and/or institutional investors and run by a professional money manager.