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Quick Reference Guide
How to Create an XML Information Table
for Form 13F Using Excel 2010 or 2007
This reference guide is intended to help filers prepare their Form 13F Information table in order to submit
it electronically via EDGAR. These instructions are provided as general guidance and should not be relied
upon as definitive or a substitute for the information provided in the EDGAR Filer Manual. Instructions for
filing Form 13F are contained in the EDGAR Filer Manual (Volume II).
Step I. Prepare the Information Table in Excel
The information table should have exactly 12 columns with corresponding column headers as depicted
above in Figure 1. Errors made when inputting the data will cause subsequent schema validation errors
once the table is exported to the XML file. The Filer Technical Support team has assembled the
following guidance for filers when preparing the information table in Excel:
• No blank rows above or below the table.
• Header information must be on one row (for example, Name of Issuer, Title of Class,
Investment Discretion, etc.).
• CUSIP Number cannot exceed 9 characters.
• Automatically rounded values.
o Make sure columns with numerical values do not have decimals. Scroll through
other columns to ensure that there are no stored decimal values in the table.
o Excel rounds any decimals to the nearest whole number. When the cell is selected the
formula bar will display the decimal value at the top of the spread sheet; see
screenshot below. If the formula bar is showing decimal values, the validation will fail
in EDGAR. To correct this, delete the value and manually type the rounded value.
• There are only two acceptable values in the Shares/Principal column which are SH or PRN and the
acronym must be capitalized.
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Quick Reference Guide
How to Create an XML Information Table
for Form 13F Using Excel 2010 or 2007
• The Put/Call column can be left blank if there is no value. If entering a value, the only acceptable
values are Put and Call and the first letter must be capitalized.
o Sometimes cells in Excel contain a value even though the cells appear empty. This could
result in errors if the contents of the cell are not cleared. To prevent this from occurring,
be sure to clear the contents of any blank cell by right clicking on the empty cell and
selecting “Clear Contents.” This will ensure that no data is being captured.
o The only acceptable values in the Investment Discretion column are SOLE, DFND, and
OTR. All letters of the acronym must be capitalized.
• The Other Managers column can be left blank if there is no value. If entering more than one
number, use commas to separate the values (e.g. 1,10,23).
• The Sole, Shared, and None columns must have values for each entry. If there is no value, enter a
zero (0).
Note: If uncertain of the values for certain fields, please consult the13F Frequently Asked Questions document if
further clarity is needed on certain fields. This FAQ is available on the public site or consult the SEC Division of
Investment Management Chief Counsel’s Office at 202-551-6865.
Step II. Save the Schema Files
The schema files are contained in a zip file on the SEC website.
1. Navigate to the EDGAR Form 13F Technical Specification:
EDGAR Form 13F XML Technical Specification
2. Select the link to the compressed folder at the bottom of the page to download and save the
13F XML Technical Specification file.
3. Click on Save and select the folder destination for the file. Select Save.
4. Open the folder, right click on the file and select Extract All.
5. Browse to locate the saved schema file in the Extract Compressed (Zipped) Folders window and
select Extract.
6. A folder will be created that contains the 13F XML Technical Specification PDF, schema files with
the .xsd file extension and sample documents with the .xml extension as displayed below:
Note:
The method for extracting the files to a folder varies depending on the zip software.
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