How do I file Form 13H?

Form 13H and its derivative forms are a special case in that they cannot be directly submitted to EDGAR via third party software. The SEC does not allow user-constructed submissions for these forms. However, users can create filings for Forms 13H, 13H-A, 13H-I, 13H-Q, 13H-R, and 13H-T using GoFiler Complete. These submissions have a special process to submit them to EDGAR.

Under the File menu on the Submission Ribbon, users will only see the option for Send to EDGARLink Online. This menu item will log into the EDGAR system, launch the EDGARLink Online application, and load your filing from GoFiler Complete into EDGARLink Online. Once there, you can file your submission to EDGAR.

Using the Send to EDGARLink Online function will require the use of the Novaworks Login Assistant, which is a browser extension that will automatically navigate through the EDGAR website to assist you in filing submissions.

To file Form 13H or any of its derivatives:

1. Create a new project or open a 13H project in GoFiler Complete. You can use the Submission View editor to add or edit form data, validate, and proof.
2. Once all edits have been completed, click File > Save to save your submission.
3. Click Submission > File > Send to EDGARLink Online.
4. Click the Yes button to copy the filename to the clipboard. You will need this information in a later step.
   
5. Your default browser should open and the Novaworks Login Assistant will navigate through the EDGAR website to the page to File Form 13H. Click the Browse button.
   
6. Paste the filename from the clipboard into the File name field on the Upload File dialog.
7. Click Open.
8. Click Next.
9. Click Submit.