EDGAR Form 13F XML Technical Specification (Version 1.4)

Implementation Date: February 25, 2021

The Form 13F XML Technical Specification (Version 1.4) document describes the valid structure and content of the Form 13F Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides a basis for creating Form 13F submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form 13F submission that can be successfully processed by the EDGAR system.

The Form 13F submission file must conform to the EDGAR Form 13F Submission Taxonomy for the EDGAR system. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that defines the structures of EDGAR Form 13F submissions. The Form 13F XML submissions can be transmitted to the SEC via the ‘Transmit’ link on the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the ‘Transmit XML Submission’ link on the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

On February 25, 2021, EDGAR Release 21.0.2.u1 introduced the following changes:

  • Text for Country GEORGIA is changed to GEORGIA (COUNTRY) in eis_Common.xsd file.
  • Text for Country GEORGIA is changed to GEORGIA (COUNTRY) in eis_stateCodes.xsd file.
  • Code 2Q is changed to GEORGIA (COUNTRY) in APPENDIX A.STATE/COUNTRY CODES.