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)?


Your Answer

By clicking “Post Your Answer”, you agree to our terms of service, privacy policy and cookie policy

Browse other questions tagged or ask your own question.