The Form 13F-NT Files Dataset is a complete archive of every Form 13F-NT and Form 13F-NT/A submission accepted by SEC EDGAR, organized as one record per filing inside monthly ZIP containers. Form 13F-NT is the "Notice" variant of the Section 13(f) quarterly report — the certification an institutional investment manager files when it remains subject to the $100 million Section 13(f) reporting obligation but every reportable security under its discretion is being reported on another manager's Form 13F-HR or Form 13F-CTR. Each record packages the canonical EDGAR XML cover-page payload, the rendered HTML cover sheet, and a normalized JSON header describing the submission and the manager(s) actually carrying the holdings. Coverage begins on 1999-02-01, when EDGAR's mandatory electronic 13F regime took effect, and runs through the present, with new filings added as EDGAR accepts them.
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Dataset Index JSON API
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Download a single container file (e.g. monthly archive) from the dataset.
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The dataset captures every Form 13F-NT and Form 13F-NT/A filing accepted by EDGAR, materialized as a per-accession folder inside monthly ZIP containers. The folder is named with the EDGAR 18-digit accession number stripped of dashes (for example, 000176790925000002) and sits under a YYYY/YYYY-MM/ path inside the container. The unit of observation is the filing — not the filer, not the reporting period, and not any individual "other manager" relationship disclosed inside it. A manager that submits one notice per quarter for ten years contributes forty records; an amendment to any of those quarters contributes a separate record with form type 13F-NT/A and its own accession number.
Form 13F-NT is the Notice variant of Form 13F, the quarterly report required by Section 13(f) of the Securities Exchange Act of 1934 for institutional investment managers exercising investment discretion over $100 million or more in Section 13(f) securities. A manager files 13F-NT when it crosses the reporting threshold and therefore owes a Section 13(f) filing, but holds no Section 13(f) securities of its own to report — every reportable position has already been included on a Form 13F-HR submitted by another manager (typically a parent, sub-adviser, or affiliated adviser that aggregates holdings). The notice is functionally a certification: the filer attests that its reportable holdings, if any, are reported on a separately filed 13F-HR, and identifies the manager(s) carrying them. By construction, a 13F-NT carries no Information Table and lists no securities. Form 13F-NT/A is the amendment counterpart, filed to restate a previously submitted 13F-NT or to add other-manager entries; amendments retain the notice character (still no holdings table) but flag themselves on the cover page as a restatement or as adding new holdings entries, and reference the prior notice they correct.
Containers are distributed as monthly ZIP archives. The file types found across the full corpus are TXT, JSON, HTML, PDF, and XML, reflecting historical and edge-case content. For 13F-NT filings in the modern XML era, only XML and JSON appear in record folders, with the HTML cover sheet travelling under an .xml filename inside the xslForm13F_X02/ subfolder.
One record in the Form 13F-NT Files Dataset is a single Form 13F-NT or Form 13F-NT/A submission to EDGAR, materialized as the per-accession folder described above. Each folder bundles the canonical EDGAR XML payload for the notice, the rendered cover sheet that EDGAR serves to browsers, and a normalized JSON header describing the submission.
Each per-accession folder contains a flat layout with one nested folder for the rendered view:
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<accessionNoDashFree>/
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├── metadata.json
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├── primary_doc.xml
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└── xslForm13F_X02/
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└── primary_doc.xml
metadata.json — a normalized header descriptor for the filing, derived from the EDGAR submission header.primary_doc.xml — the canonical Form 13F-NT cover-page payload submitted to EDGAR, in the http://www.sec.gov/edgar/thirteenffiler namespace, schema version X0202.xslForm13F_X02/primary_doc.xml — the HTML cover sheet produced by EDGAR's Form13F_X02 XSL stylesheet applied to the submission XML. Despite the .xml extension, the file body is HTML 4.01.Image files from the original EDGAR submission are excluded.
metadata.jsonThe JSON header is a flat object describing the submission and its filer. The fields that carry intentional meaning are:
formType — "13F-NT" or "13F-NT/A".accessionNo — EDGAR accession number in dashed form (e.g., 0001767909-25-000002).filedAt — full ISO-8601 timestamp with timezone offset (typically Eastern Time).effectivenessDate — date the filing became effective on EDGAR.periodOfReport — calendar quarter-end the notice covers (e.g., 2025-06-30).description — human-readable form description ("Form 13F-NT - Quarterly report filed by institutional managers, Notice").linkToFilingDetails — URL of the rendered XSL cover page on sec.gov.linkToTxt — URL of the EDGAR .txt complete-submission file on sec.gov.linkToHtml — URL of the EDGAR filing index page.linkToXbrl — empty string for 13F-NT (no XBRL is associated with this form type).documentFormatFiles[] — array of the documents in the original EDGAR submission, each carrying sequence, size, documentUrl, type, and an optional description. For 13F-NT this is typically three entries: the rendered XSL view, the raw primary_doc.xml, and the complete submission .txt.dataFiles[] — empty for 13F-NT (no R-files, no XBRL data files).seriesAndClassesContractsInformation[] — empty for 13F-NT.entities[] — array of EDGAR header entities. For a single-filer 13F-NT this contains one entry describing the filing manager: companyName with role tag (e.g., "RIDGELINE RESEARCH LLC (Filer)"), cik, fileNo (the EDGAR file number, formatted 028-NNNNN for 13F filers), irsNo, stateOfIncorporation, fiscalYearEnd, act ("34" for the Securities Exchange Act of 1934), type (the form type), and filmNo.id — sec-api's internal 32-character hex record identifier.primary_doc.xml — the EDGAR submissionThis is the structured payload of the notice, declared in the EDGAR thirteenffiler namespace at schema version X0202. It is the authoritative machine-readable copy of the cover-page disclosures and is divided into two top-level sections: headerData and formData.
headerDatasubmissionType — "13F-NT" for original notices, "13F-NT/A" for amendments.filerInfo
liveTestFlag — "LIVE" for production filings (test filings carry "TEST").flags — three boolean-style flags carried as elements: confirmingCopyFlag, returnCopyFlag, overrideInternetFlag.filer.credentials — cik (10-digit zero-padded) and a ccc value redacted to "XXXXXXXX" after acceptance.periodOfReport — quarter-end date in MM-DD-YYYY form.formDataThe form data carries the cover page and signature block. There is no holdings table: 13F-NT files have no infotable.xml companion, no informationTable element, and no securities lines. The cover page is the entire substantive payload.
coverPage
reportCalendarOrQuarter — quarter-end date the notice covers.filingManager — the reporting manager's identification block:
name — legal name of the filer.address — a structured address using the com: prefix (com:street1, optional com:street2, com:city, com:stateOrCountry, com:zipCode).reportType — for 13F-NT this is the literal "13F NOTICE". The same element distinguishes the three Form 13F variants: "13F HOLDINGS REPORT" (13F-HR), "13F NOTICE" (13F-NT), and "13F COMBINATION REPORT" (13F-CTR).form13FFileNumber — the filer's 028-NNNNN Section 13(f) file number.crdNumber, secFileNumber — optional supplementary identifiers for the filing manager. Both fields appear inconsistently and should be treated as optional.otherManagersInfo.otherManager[] — the defining payload of the notice. This list identifies each institutional investment manager on whose Form 13F-HR the filer's reportable holdings actually appear. Each otherManager element typically carries name and form13FFileNumber, and may carry optional cik, crdNumber, and secFileNumber. The list permits a single entry (the common case) or multiple entries when a filer's holdings are split across several reporting managers. This cross-reference is the entire informational reason 13F-NT exists: it lets consumers follow the assignment chain from a no-holdings notice to the holdings report that aggregates the positions.provideInfoForInstruction5 — "Y" or "N" flag indicating whether the filer is supplying the additional manager-identifying information called for by Instruction 5 of Form 13F.signatureBlock — the manual-equivalent execution block: name, title, phone, signature (typed signature string), city, stateOrCountry, and signatureDate.There is no Information Table element, no securities CUSIP rows, no value or shares totals, and no summary page in a 13F-NT — these structural elements belong only to 13F-HR and 13F-CTR.
xslForm13F_X02/primary_doc.xml — the rendered cover sheetThis is the HTML output produced by applying EDGAR's Form13F_X02 XSL stylesheet to the submission XML. It is the same view a user sees when clicking the filing on sec.gov, preserved as a printable cover page. Its content is a one-to-one rendering of the XML cover page, laid out in the following blocks:
13F HOLDINGS REPORT, 13F NOTICE, and 13F COMBINATION REPORT. For 13F-NT, only 13F NOTICE carries the X mark.otherManager entry from the XML.The HTML view contains no holdings table, no summary page, and no Information Table, mirroring the absence of those elements in the XML. Despite its .xml extension, the file should be parsed as HTML, not XML, and it carries no information that is not also present in the canonical primary_doc.xml.
Each record packages the canonical XML cover-page payload, the rendered HTML cover sheet, and the normalized JSON header for one accession. Together these reproduce the structured machine-readable form, the human-readable cover-page representation, and the EDGAR-level submission metadata needed to relate the filing to its filer, period, and EDGAR location.
The dataset packaging excludes image files from the original EDGAR submission. Record folders do not include the standalone .txt complete-submission file (linkToTxt in metadata.json points to the sec.gov copy if needed). For 13F-NT specifically, there is no infotable.xml because the form carries no holdings — its absence is structural, not an omission. Exhibits, when they exist, would arrive as additional files in the record folder; in practice 13F-NT filings rarely carry exhibits because the notice is, by definition, a short certification. R-files and XBRL artefacts are not associated with this form type and therefore do not appear.
Section 13(f) reporting itself dates to the 1975 Securities Acts Amendments and Section 13(f)(1) of the Exchange Act, with Form 13F instructions promulgated under Rule 13f-1. The Notice variant was introduced as the route for managers above the $100 million threshold to satisfy their filing obligation when all reportable holdings appear on another manager's Form 13F-HR.
Before EDGAR mandates extended to Form 13F, notices were filed on paper. Mandatory electronic filing of Form 13F on EDGAR took effect in the late 1990s, and dataset coverage reflects that transition by beginning in February 1999.
The structured thirteenffiler XML schema came later. In its earliest electronic years on EDGAR, Form 13F filings (including notices) were submitted as plain-text or HTML documents inside the EDGAR submission wrapper, without a uniform XML data model. The thirteenffiler XML schema replaced that legacy format and has gone through incremental schema versions; the current cover-page payload uses X0202. Older filings in the dataset reflect prior schema versions or pre-schema submission formats, with the same conceptual cover-page content but different element names, attribute layouts, or, for the oldest filings, no XML at all. Consumers parsing the entire historical span should expect three eras: (a) early records dominated by free-text or HTML cover pages with no machine-readable element model; (b) a middle period using earlier thirteenffiler schema versions; and (c) modern records using X0202 with the structure described above. The xslForm13F_X02/primary_doc.xml rendered HTML view appeared with the XML era and is produced server-side by EDGAR; its content is fully derivable from the XML and exists in the record folder for human-readable convenience.
The substantive content set required on a 13F-NT cover page has been stable: identification of the filer, the calendar quarter or year covered, the report-type designation, the list of other managers carrying the filer's holdings, an Instruction 5 indicator, and an executed signature block. Optional supplementary identifiers on the filer and on each other manager — crdNumber, secFileNumber, and (for other managers) cik — were added or formalized in successive schema revisions; their presence in any individual record is not guaranteed and varies filing by filing.
otherManager list inside formData/coverPage/otherManagersInfo. Joining the filer's CIK to each otherManager's cik (where present) or form13FFileNumber reconstructs the manager-to-manager assignment chain that explains where the filer's holdings actually appear. When cik is absent on an otherManager, the 028-NNNNN Form 13F file number is the most reliable join key.crdNumber, secFileNumber, and cik should be treated as optional on both the filing-manager block and on each otherManager. Consumers must not assume any of these fields will be populated.submissionType (13F-NT/A), in the cover-page amendment checkboxes ("is a restatement" and/or "adds new holdings entries"), and in the relationship the amendment bears to a prior accession. The dataset does not link amendments to the originals they amend; that linkage must be reconstructed by the consumer from filer CIK and periodOfReport.periodOfReport in metadata.json is the calendar quarter the notice covers and is not the same as filedAt (the moment of submission) or effectivenessDate (when EDGAR accepted the filing). Quarter membership should be derived from periodOfReport.entities[] is an array to accommodate filings with multiple roles, but typical 13F-NT submissions carry exactly one entity (the filer). The role tag inside companyName (e.g., (Filer)) disambiguates the role when more than one entry is present.Each Form 13F-NT in this dataset is a notice filing submitted to EDGAR by an institutional investment manager that is subject to Section 13(f) of the Securities Exchange Act of 1934 but has no Section 13(f) securities to list on its own holdings report for the relevant calendar quarter, because all of its reportable securities are being reported on the Form 13F-HR (or Form 13F-CTR) of another manager. The legal filer is the manager carrying the reporting obligation, not the manager carrying the holdings on its own report. Form 13F-NT/A is an amendment filed by the same manager to correct or restate a prior 13F-NT.
Filers are "institutional investment managers" within Section 13(f)(6)(A) of the Exchange Act: any entity that invests in or buys and sells securities for its own account, and any natural person or entity exercising investment discretion over the account of another. The defining characteristic is investment discretion, not entity form. The population includes registered investment advisers, broker-dealers, banks, insurance companies, registered investment companies, pension plans, foundations, endowments, family offices, bank trust departments, hedge fund managers, and corporate or individual fiduciaries. Foreign managers fall within the regime when they exercise investment discretion over Section 13(f) securities under the jurisdictional reach described in the General Instructions to Form 13F.
Rule 13f-1 under the Exchange Act triggers the reporting obligation when a manager exercises investment discretion over accounts holding Section 13(f) securities with an aggregate fair market value of at least $100 million on the last trading day of any month during a calendar year. Only securities on the SEC's Official List of Section 13(f) Securities (published quarterly and consisting principally of exchange-traded equities, certain equity options and warrants, shares of closed-end investment companies, and certain convertible debt) count toward the threshold and toward holdings disclosed on the form.
Once the threshold is crossed in a calendar year, Rule 13f-1(a)(1) locks in four required quarterly filings: an initial report as of December 31 (due within 45 days after year-end) and reports as of March 31, June 30, and September 30 of the following year (each due within 45 days after quarter-end). The lock-in is not lifted if discretionary holdings later drop below $100 million during the reporting cycle; the manager must complete all four filings, using 13F-NT in any quarter where it has nothing of its own to list.
Form 13F-HR is the holdings report. Form 13F-NT is the notice filed when the manager remains subject to Section 13(f) but every Section 13(f) security under its discretion is being reported on another manager's Form 13F-HR or 13F-CTR. The General Instructions to Form 13F describe 13F-NT as a notice that the filer's reportable securities are being reported by another manager.
Typical fact patterns producing a 13F-NT:
Form 13F-NT does not relieve any manager of the underlying Section 13(f) obligation; it satisfies it by certifying, for the relevant quarter, that the filer's reportable securities appear on a separately filed 13F-HR or 13F-CTR submitted by an identified other manager.
Form 13F-NT carries the same calendar-quarter cadence and the same 45-day post-quarter-end deadline as Form 13F-HR. A manager that crosses the threshold in 2024 will file four 13F-format submissions (any combination of 13F-HR, 13F-NT, or 13F-CTR appropriate to its structure): one as of December 31, 2024, and one as of each of March 31, June 30, and September 30, 2025, each due within 45 days of the position date.
A 13F-NT/A is filed to correct a prior 13F-NT, typically to fix the identification of the other reporting manager, correct the filer's own cover-page or signatory information, restate the period covered, or transition to a Form 13F-HR/A where the manager determines on review that it actually had Section 13(f) holdings of its own to report. Amendments preserve the original accession lineage in EDGAR.
The General Instructions to Form 13F require that every 13F submission, including 13F-NT and 13F-NT/A, be signed on behalf of the manager by a person authorized to bind it, with the signatory's name, title, and the city and state from which the form is signed. The signature operates as the manager's certification that the information is true and correct. For entity filers, the signatory is typically an officer, general partner, managing member, principal, or other authorized representative; for natural-person managers, the manager itself signs. On a 13F-NT, the signature is the manager's quarterly attestation that it remains subject to Section 13(f) and that its reportable securities for the period are reported on the Form 13F of the identified other manager.
Form 13F-NT is a notice, not a holdings report. The most useful comparisons are against the other Section 13(f) variants it points to, the amendment of itself, and the small set of nearby ownership and adviser filings that are routinely confused with 13F.
13F-NT shares the statute, the threshold, and the quarterly cadence, but contains no Information Table. 13F-HR is where the holdings actually live; 13F-NT is the certification that they are reported on someone else's 13F-HR. Holdings consumers must follow the otherManagersInfo pointer in the 13F-NT to that named manager's 13F-HR.
Differs from 13F-NT in the same way 13F-HR does (holdings vs. no holdings), and from 13F-NT/A in that it amends a holdings report rather than a notice. A manager that should have reported holdings directly would file 13F-HR or 13F-HR/A, not amend the notice.
13F-NT is the all-other-manager case (no local holdings). 13F-CTR is the mixed case (some local holdings). Reconstructing a CTR filer's full book requires both the local table and the joined other-manager 13F-HR; reconstructing an NT filer's book requires only the join.
Shares the schema and dataset partition with 13F-NT. Still contains no Information Table.
13F-NT is portfolio-wide, periodic (quarterly), and issuer-agnostic. 13D/13G are issuer-specific and event-driven. Different statute (Section 13(d)/(g) vs. 13(f)), different trigger, different unit of analysis. Researchers tracking concentrated single-issuer stakes use 13D/13G; researchers tracking institutional discretionary portfolios use 13F-HR (following 13F-NT pointers when needed).
Overlaps with 13F-NT only in filer population and statutory family. N-PX is annual, vote-level, and per-meeting; 13F-NT is quarterly and per-filing. Neither substitutes for the other.
ADV describes the firm; 13F-NT reports a quarterly Section 13(f) status. ADV contains no holdings, no votes, and no notices. Useful for identifying or characterizing a manager that appears in 13F filings, not for reconstructing portfolios.
13F-NT is a pointer record. It carries no Information Table and no holdings data of any kind — that is its defining property. Within the 13F family, 13F-HR and 13F-HR/A hold the actual portfolios, 13F-CTR carries a partial portfolio plus a pointer, and 13F-NT (with 13F-NT/A) carries only the pointer. Outside the 13F family, Schedule 13D/13G are issuer-specific event filings under a different section, N-PX is an annual vote-level filing, and Form ADV is firm-level registration under a different statute. To get holdings for a 13F-NT filer, parse otherManagersInfo, identify the named manager, and pull that manager's 13F-HR (or 13F-CTR) for the same period.
Form 13F-NT is a relationship record, not a holdings record: a quarterly certification that another manager reports the filer's positions on a 13F-HR. The professional users below treat each filing as a directed pointer between managers and work from the same small set of fields.
Compliance and back-office staff at registered investment advisers, bank trust departments, and insurance-affiliated managers confirm that the firm filed the correct form each quarter once discretionary AUM crossed the $100 million Section 13(f) threshold. They pull filingManager (name, address, CIK), periodOfReport, accessionNo, and otherManagersInfo to reconstruct the assignment chain, evidence supervisory review, and confirm that the named other manager filed a matching 13F-HR. Output: compliance calendars, control attestations, and exam-response packages.
Analysts mapping subadvisory, parent/subsidiary, and group-affiliate relationships join filingManager.cik to each entry in otherManagersInfo across every periodOfReport to build a directed edge list of reporting assignments. The result feeds adviser-network maps, peer-group definitions for fee benchmarking, and ownership roll-ups that consolidate holdings to a corporate parent rather than a filing entity.
Researchers studying 13(f) compliance and threshold-crossing behavior use formType (to separate 13F-NT from 13F-NT/A), periodOfReport, filedAt, accessionNo, filingManager.cik, and otherManagersInfo to build quarterly panels. Typical questions: how often managers switch between 13F-HR, 13F-NT, and non-filing near the threshold; whether 13F-NT/A amendments cluster around enforcement cycles; how subadvisory delegation has evolved.
Vendors productizing 13F holdings rely on 13F-NT to avoid double-counting and route users to the correct holdings filing. When a manager files a 13F-NT for a quarter, the vendor resolves otherManagersInfo (name, address, file number) plus filingManager and periodOfReport into a lookup that maps (manager CIK, quarter) to the correct 13F-HR accessionNo. Supports search relevance, attribution accuracy, and "see other manager" disambiguation in user interfaces.
Examiners verify that the certification is backed by a real holdings filing. They cross-reference filingManager.cik, periodOfReport, and otherManagersInfo against the 13F-HR universe to flag orphan certifications (pointer to a manager that did not file), inconsistent assignment chains across quarters, and clusters of late 13F-NT/A submissions. Output: workpapers, deficiency findings, and risk-based exam targeting.
Researchers treat each filing as a directed edge from filingManager to each entity in otherManagersInfo, stacked across periodOfReport, to compute in-degree concentration of hub reporters, edge churn, and the share of the 13(f)-eligible universe that consolidates reporting through a small number of group reporters. Feeds working papers and comment letters on disclosure aggregation.
Corporate-development teams and transaction-diligence analysts read changes in otherManagersInfo for a target's filingManager.cik across periodOfReport as a soft signal of acquisition, platform migration, or carve-out, citing filedAt and accessionNo. Supports buyer/seller landscape maps, post-merger integration tracking, and competitive analysis where group structure is not cleanly disclosed elsewhere.
Each role works from the same fields — filingManager, otherManagersInfo, periodOfReport, formType, filedAt, and accessionNo — but turns the same directed pointer into very different outputs: compliance evidence, network maps, academic panels, vendor routing tables, examination findings, market-structure metrics, and M&A diligence.
Form 13F-NT records are pointer documents, so most workflows convert the (filingManager, periodOfReport, otherManagersInfo) triple into a join key, a network edge, or a compliance check.
13F holdings vendors process the dataset to keep their (manager CIK, quarter) to 13F-HR accessionNo lookup current. For each notice, the pipeline reads filingManager.cik, periodOfReport, and every otherManagersInfo.otherManager entry (name, form13FFileNumber, optional cik), then matches each pointed-to manager's 13F-HR for the same quarter. Output: a routing table that resolves "show holdings for manager X, Q2 2025" to the correct accessionNo of the aggregating manager, eliminating double-count and powering "reported by other manager" UI labels.
Network analysts build a quarterly directed graph by stacking edges from filingManager.cik to each otherManagers.otherManager (joined on cik where present, falling back to form13FFileNumber) across every periodOfReport. The resulting edge list, keyed by accessionNo and timestamped with filedAt, supports parent-subsidiary roll-ups, subadvisor maps, hub-reporter concentration metrics, and consolidated AUM views that reattribute holdings to corporate parents.
Compliance teams reconcile their firm's filings against expectations using filingManager.name / cik, formType (13F-NT vs. 13F-NT/A), periodOfReport, accessionNo, and the signed signatureBlock. The workflow confirms that each quarter above threshold produced exactly one notice or holdings report, that the named other manager actually filed a matching 13F-HR for the same periodOfReport, and that any 13F-NT/A amendment is tied to a prior original. Output: control attestations, supervisory sign-offs, and exam-ready packages.
SEC examiners and OCIE-style risk teams use the dataset to flag broken assignment chains. The query pattern: pull every otherManager.cik (or form13FFileNumber) from each notice, look up whether that manager filed a 13F-HR for the same periodOfReport, and surface filings where the pointer dead-ends. Combined with filedAt and effectivenessDate, this also identifies clusters of late 13F-NT/A submissions and inconsistent assignment chains across quarters, feeding workpapers and risk-based exam targeting.
Researchers build manager-quarter panels keyed on filingManager.cik and periodOfReport, with formType distinguishing originals from 13F-NT/A amendments and filedAt carrying timing. Typical studies: switching behavior between 13F-HR, 13F-NT, and non-filing around the $100M threshold; clustering of NT amendments around enforcement events; evolution of subadvisory delegation visible in otherManagersInfo cardinality over time. The dataset's coverage from February 1999 supplies the long panel needed for these designs.
Corporate-development analysts monitor the otherManagersInfo list for a target's filingManager.cik across consecutive periodOfReport values. A new other-manager entry, a removed entry, or a switch from 13F-HR to 13F-NT (or back) is logged with accessionNo and filedAt as a soft signal of platform migration, acquisition close, or sub-advisor change. Output: deal-pipeline alerts, post-merger integration trackers, and competitive landscape maps where the group-structure change is not disclosed cleanly elsewhere.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-13fnt-files.json
This endpoint returns metadata for the Form 13F-NT Files Dataset, including the dataset name, description, last updated timestamp, earliest sample date (1999-02-01), total records, total size, covered form types (13F-NT, 13F-NT/A), container format (ZIP), included file types (TXT, JSON, HTML, PDF, XML), the full dataset download URL, and a list of all individual monthly container files with their size, record counts, updated timestamps, and per-container download URLs. Use this endpoint to monitor which containers were updated in the most recent refresh run and to decide which containers to download incrementally on a daily basis. No API key is required to call this endpoint.
Example response:
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{
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"datasetId": "1f13365b-9ae0-68eb-85fd-a2122866f8fd",
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"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-13fnt-files.zip",
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"name": "Form 13F-NT Files Dataset",
5
"updatedAt": "2026-04-25T02:56:34.316Z",
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"earliestSampleDate": "1999-02-01",
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"totalRecords": 215146,
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"totalSize": 473850355,
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"formTypes": ["13F-NT", "13F-NT/A"],
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"containerFormat": "ZIP",
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"fileTypes": ["TXT", "JSON", "HTML", "PDF", "XML"],
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"containers": [
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{
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"downloadUrl": "https://api.sec-api.io/datasets/form-13fnt-files/2026/2026-04.zip",
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"key": "2026/2026-04.zip",
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"size": 13818783,
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"records": 154,
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"updatedAt": "2026-04-25T02:56:34.316Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-13fnt-files.zip?token=YOUR_API_KEY
Downloads the complete Form 13F-NT Files Dataset as a single ZIP archive containing all monthly container files from February 1999 to the present. This endpoint requires an API key.
Download Single Container: https://api.sec-api.io/datasets/form-13fnt-files/2026/2026-04.zip?token=YOUR_API_KEY
Containers are organized as monthly ZIP archives. Use the downloadUrl value from any entry in the containers array of the index API response to fetch a single month's filings instead of the entire dataset. This endpoint requires an API key.
Form 13F-NT is the "Notice" variant of Form 13F, the quarterly Section 13(f) report required of institutional investment managers exercising investment discretion over $100 million or more in Section 13(f) securities. A manager files 13F-NT in quarters when it remains subject to the obligation but has no Section 13(f) securities of its own to list, because every reportable position is being reported on the Form 13F-HR (or 13F-CTR) of another manager.
Any institutional investment manager that meets the $100 million Section 13(f) discretionary-assets threshold but whose reportable holdings, if any, are reported on another manager's Form 13F-HR or 13F-CTR. The population includes registered investment advisers, broker-dealers, banks, insurance companies, pension plans, foundations, endowments, family offices, hedge fund managers, and other entities or natural persons exercising investment discretion. Managers below the $100 million threshold are outside the regime entirely and file no 13F variant.
Form 13F-HR is the holdings report and contains the full Information Table — issuer, CUSIP, class, value, shares, discretion category, and voting authority for each Section 13(f) security. Form 13F-NT is a notice that contains no Information Table and no securities at all; it certifies that the filer's reportable holdings appear on a separately filed 13F-HR submitted by an identified other manager. 13F-CTR is the hybrid case that combines a partial holdings table with a pointer to another manager.
The absence of holdings is structural, not an extraction issue. A 13F-NT exists precisely because the filer's reportable Section 13(f) securities are being reported on another manager's 13F-HR or 13F-CTR — typically a parent, sub-adviser, or affiliated adviser that aggregates the holdings. The notice carries no infotable.xml, no informationTable element, and no securities lines by design.
Parse the otherManagersInfo.otherManager[] list inside formData/coverPage of the notice's primary_doc.xml. Each entry identifies a manager (by name and form13FFileNumber, with optional cik and other identifiers) on whose Form 13F-HR or 13F-CTR the filer's reportable holdings appear. Pull that manager's 13F-HR for the same periodOfReport to retrieve the underlying portfolio. When cik is absent on an otherManager, the 028-NNNNN Form 13F file number is the most reliable join key.
Form 13F-NT/A is the amendment counterpart to 13F-NT, filed to restate or correct a previously submitted 13F-NT — for example, to fix the identification of the other reporting manager, correct cover-page or signatory information, or add other-manager entries. Amendments use the same folder shape and XML schema as originals; the differences appear in submissionType (13F-NT/A) and in the cover-page amendment checkboxes ("is a restatement" and "adds new holdings entries").
Form 13F-NT carries the same calendar-quarter cadence and 45-day post-quarter-end deadline as Form 13F-HR. Once a manager crosses the $100 million Section 13(f) threshold in a calendar year, Rule 13f-1(a)(1) requires four quarterly filings: an initial report as of December 31 (due within 45 days after year-end), and reports as of March 31, June 30, and September 30 of the following year (each due within 45 days after quarter-end). The lock-in is not lifted if discretionary holdings later drop below $100 million during the cycle.
Coverage begins on 1999-02-01, when EDGAR's mandatory electronic 13F filing regime took effect, and runs through the present, with new filings added as EDGAR accepts them. The dataset is distributed as monthly ZIP container files; record folders contain a normalized metadata.json, the canonical primary_doc.xml cover-page payload, and the rendered HTML cover sheet under xslForm13F_X02/primary_doc.xml.