All funds/managers with assets above 100M need to file their holdings with the SEC in the form of a 13F. like this one for example : https://sec.report/Document/0001567619-19-011051

There is a column called "TITLE OF CLASS" which gives details of the asset. for regular common stock it just says COM, are there any tags to specify that it is a pre-IPO stock. If pre-IPO/ IPO placements are not recorded in 13F forms, can they be found someplace else?

Essentially I am interested In finding out if a specific fund participated in a pre IPO.

1 Answer 1


The Form 13-F requires managers to report their 13(f) security holdings. As per the SEC, 13(f) securities are available for general transactions amongst the public, as such pre-IPO securities would not be reported on the 13-F form.


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