How 13F-NT notices and combination reports are handled

Method H7. Version 1.0, 2026-10-05.

A notice filer's holdings are in another manager's report, and the page names that manager.

Worked examples describe the reference filings used to check this method. Counts are tied to the dated reference data and may differ from current site coverage. Example pages become available as their filings are imported.

The rule

A manager whose holdings are reported by another manager files a 13F-NT notice instead of a holdings report. It lists the managers that report for it. A combination report holds some positions itself and names other managers for the rest. The fund page of a notice filer shows no holdings and names the managers that report for it, with links. Its CIK still has a page, and the filer can belong to a filer group.

Many notices name a manager by its 13F file number without a CIK. We find the CIK through the file number, and a stated name must match the CIK's name.

How often

In the SEC data set 01jun2026 to 31aug2026: 1,946 13F-NT, 6 13F-NT/A and 504 combination reports (DS §1.4).

Worked example

Pale Fire Capital investicni spolecnost a.s. filed a 13F-NT for the quarter ended 2026-06-30, 0000921895-26-002116. It names one manager that reports for it, Pale Fire Capital SE, whose 13F-HR 0000921895-26-002114 lists it in turn as an other included manager. The notice filer's page points to Pale Fire Capital SE, and both are members of the Pale Fire Capital group.