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In this SEC filing of Goldman Sachs

https://www.sec.gov/Archives/edgar/data/886982/000076999321000319/xslForm13F_X01/InfoTable_2021-11-09_Final.xml

There are two rows:

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I don't find any difference other than the amount/valuation.

Why not just combine them into one row?

What are the different of special reason to do this?

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1 Answer 1

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I don't find any difference other than the amount/valuation.

Isn't the "Column 7 Other Managers" different?

Why not just combine them into one row?

How do you combine 1 with 2? 1.5?

Question 48

Q: What do I list in Column 7, "Other Managers"?

A: Column 7 is one of the places where you identify another reporting manager with whom you share investment discretion if that manager also meets the $100 million filing threshold. You create a numbered list of such other managers on the Summary Page. Column 7 is the place where you enter the number assigned to each manager (i.e., 1 or 2 if you are reporting on behalf of two other managers). This designation identifies the securities on your Form 13F that are linked to the other manager.

If a manager with whom you share investment discretion does not meet the $100 million filing threshold, you merely aggregate that manager's Section 13(f) securities on your filing. Do not list the other manager's positions separately, or refer to the other manager in Column 7.

https://www.sec.gov/divisions/investment/13ffaq.htm

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  • oh, thanks a lot! Nov 13, 2021 at 8:04

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