What are 13F securities?
They're the securities a 13F has to report: mainly stocks, ETFs and closed-end funds listed on US exchanges, along with listed options and warrants on them and some convertible bonds. The SEC publishes the full list every quarter.
The SEC's Official List of Section 13(f) Securities names every security that counts. A manager reports its holdings of those, and only those, in its 13F, and only once they add up to $100 million.
What's on the list
- Stocks traded on US exchanges, including foreign companies listed in the US through ADRs (Alibaba, Toyota and hundreds more).
- Exchange-traded funds and closed-end funds.
- Listed options and warrants on those, which is why 13Fs show calls and puts.
- Some convertible bonds.
What isn't
Stocks that trade only on foreign exchanges, most bonds, mutual funds, cash, private companies and futures. A fund that invests mostly outside the US, or in bonds, can file a 13F that shows only a small part of what it owns.