SEC Filings
13F-NT (Notice)
Notice filing in which a manager signals that its holdings are reported in another manager's 13F-HR.
The 13F-NT ("Notice") is an empty 13F filing that contains no holdings table. Instead, the filing manager states that another, affiliated investment manager reports the joint holdings in a 13F-HR or 13F-CTR. Its only purpose is formal compliance, avoiding double reporting inside corporate groups.
For analysts the 13F-NT is only indirectly useful: it confirms that a given subsidiary or group entity crosses the $100 million reporting threshold, but the actual holdings have to be looked up at the referenced filer.