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Schedule 13D is filed when a shareholder crosses 5% ownership and 13F is filed by fund managers to list their portfolio holdings. These are the only filings that I am currently aware of related to identifying shareholders of a listed company and are filed from shareholders themselves.

I wonder which SEC filing(s) contains a list of top (say 10 or so) shareholders that is filed by the company itself. I notice the Japanese yuho, FSA annual filing, contains such a list of shareholders although the shareholder names are often uninformative. Is there a similar section of some SEC filing(s)?

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  • $\begingroup$ Several vendors put together products based on 13F filings. If you're interested in using ownership data though, I'd get on scholar.google.com and peruse some of the papers documenting and discussing the numerous problems with it. For some questions, it's quite helpful data, but there are numerous ways it can be misleading or wrong. $\endgroup$
    – Matthew Gunn
    Commented Nov 14, 2022 at 15:32

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Because a shareholder may have purchased and held a position in a company's stock via different brokers and sometimes under different investment vehicles' names, the burden or responsibility to report ownership sums or thresholds is placed on the investor rather than the issuer or, say, stock transfer agent or registrar.

The closest you may get to having an issuer broadly disclose its significant or influential shareholders is the issuer's proxy statement filings, usually Form 14D. That disclosure oftentimes in-turn relies on (1) investors' disclosures to the regulator or (2) insiders' disclosures to the company.

Hence, you may be better off relying on other regulatory disclosures made independent of the issuer if you need timely information.

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