13H Large Trader Filing
– Deadline Fast Approaching
July 6, 2022
Please be advised that any amendments for changes that occurred on your 13H Large Trader filing during the second quarter of 2022 are due by Monday July 11, 2022.
Large Trader Filing Due Dates
As a reminder, initial Large Trader filings are due within 10 days of crossing the following threshold:
Aggregate transactions in National Market System securities (i.e., exchange-listed equity securities and standardized option contracts) that are equal to or greater than:
- during a calendar day, either two million shares or shares with a fair market value of US$20M
- during a calendar month, either twenty million shares or shares with a fair market value of US$200M.
How Waystone Compliance Solutions Can Help
If you require assistance with Large Trader reporting or would like to discuss this further, please reach out to our US compliance specialists today.