Dan Brecher
Counsel
212-286-0747 dbrecher@sh-law.comFirm Insights
Want to Know Where the Pros Are Placing Your Money? Hedge Fund Filings Now Available for Review
Author: Dan Brecher
Date: November 28, 2013
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Hedge fund 13F filings are now available for review. These regulatory filings are noteworthy because they provide private investors a glimpse into where the professionals are placing their money.
For example, Berkshire Hathaway recently released its 13F filing to the public, revealing what stocks legendary investor Warren Buffet and his team bought and sold during the last quarter. The biggest buzz surrounded the firm’s purchase of 40.1 million shares of Exxon Mobil stock. As proof that the investment industry keeps tabs on 13-F filings, shares of Exxon traded higher following Berkshire Hathaway’s release.
Overall, some of the most popular stocks among hedge funds for the third quarter include Facebook, Apple, General Motors, according to a review by The Street. While certainly not groundbreaking news, the filings suggest that these companies remain favored by the industry.
The information is made available to the public under a provision of U.S. securities law. Institutional investors with more than $100 million in assets are required to file a 13F form with the Securities and Exchange Commission. Overall, approximately 3,400 firms—ranging from insurance companies to hedge funds— are required to make the regulatory filings each quarter.
Of course, investors must also recognize that tracking 13F filings as an investment strategy has its shortcomings. While the disclosures reveal a hedge fund’s long positions, they do not offer any information regarding short sales, cash positions, or any other asset class. Due to the timing of the disclosures, the information also lags behind what stocks the hedge fund industry is currently buying and selling. Therefore, they should be used simply as a starting point to conduct more research.
If you have any questions about hedge fund Form 13F filings or would like to discuss the legal issues involved, please contact me, Dan Brecher, or the Scarinci Hollenbeck attorney with whom you work.
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