FIN 494 2-14-19.docx - Life\u2019s Lesson \u201cTalent only goes so far as hard work does the rest\u201d Trading Tip Form 13 F Investment managers must report to

FIN 494 2-14-19.docx - Life’s Lesson “Talent only goes...

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Life’s Lesson “Talent only goes so far as hard work does the rest” Trading Tip Form 13 F- Investment managers must report to the SEC within 45 days after end of quarter. Form 13 D- must be filed within 10 days by anyone who acquires more than 5% of any class publicly traded securities. A file must be updated the material change or more than 5% in 5 days. The SEC interprets *an option holder to be the beneficial owner if he has the rights to purchase the options in 16 days. Form SH- The SEC requires all institution money managers to report sells and short positions every 7 days. Except for short option positions 1908. Form 13 F (Different Section)- Hedge funds must enclose equities ADR’s both put and call options as well as convertible notes. No short sales, cash positions or other asset classes. Tights on Public Information
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