How do I file Form SHO with Toppan Merrill?
For full-service processing of Form SHO, complete the applicable worksheet below and email the completed worksheet to your local Toppan Merrill Customer Service site for processing. Please note that if you already have your data in the required XML format, we can work with that XML; you will not need to use the below template(s).
In what format should Form SHO be filed?
Form SHO is filed in XML format.
When is Form SHO required to be filed?
Form SHO must be filed within 14 calendar days following the end of each calendar month.
Is Form SHO disseminated?
Form SHO is a confidential filing and is not disseminated.
The SEC will begin publishing the aggregated data from all Form SHO filers publicly within 3 months following the first required filing on February 14, 2025, and within 1 month of all subsequent filings.
Insights
Click here to read the blog.
SEC Rule Fact Sheet: https://www.sec.gov/files/34-98738-fact-sheet.pdf
SEC Final Rule: https://www.federalregister.gov/documents/2023/11/01/2023-23050/short-position-and-short-activity-reporting-by-institutional-investment-managers