The Form 13H amendment deadline for the first calendar quarter of 2012 is approaching. Rule 13h-1 requires a large trader to amend its Form 13H on file with the SEC promptly following the end of the calendar quarter in which any of the information in its Form 13H becomes inaccurate for any reason (including as a result of changes to the list of brokers, changes to the name or address of the large trader, or changes to the list of forms filed with the SEC). The SEC staff has indicated that “promptly” for this purpose means within 10 calendar days following the end of the calendar quarter.
If you have any questions concerning the Form 13H filing obligations, please contact an attorney in the Investment Management Group at Seward & Kissel LLP.
