SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: FIRST BUSINESS FINANCIAL SERVICES, INC.
Filing Type: Form 13F Information Table (Institutional Investment Manager)
Reporting Period: Quarter ended March 31, 2014
Context: This filing discloses the equity securities held by the company as of the end of the quarter. It is a regulatory disclosure of holdings, not a financial performance report.
Key Financial Metrics and Holdings
The filing does not provide revenue, profit, cash flow, margins, debt, or liquidity metrics for First Business Financial Services, Inc. Instead, it lists the value and quantity of securities held in the portfolio.
- Total Portfolio Value: The filing lists individual security values in thousands of dollars but does not explicitly state a total aggregate portfolio value.
- Largest Single Holding: First Business Financial Common Stock (207,226 shares, valued at $9,777,000).
- Significant Fund Holdings:
- Vanguard Mutual Funds/Equity (807,318 shares, valued at $78,689,000).
- SPDR Mutual Funds/Equity (246,462 shares, valued at $8,959,000).
- Ishares Mutual Funds/Equity (419,536 shares, valued at $28,193,000).
- Notable Equity Positions: Includes holdings in Altria Group, Broadcom Corp, Coca-Cola Co, Oracle Corp, and Philip Morris International Inc.
Material Changes
The filing text does not provide comparative data for the prior quarter or year. Therefore, material changes in holdings versus the prior comparable period cannot be determined from this document alone.
Guidance, Outlook, and Risks
Guidance and Outlook: Not applicable. Form 13F filings are historical snapshots of holdings and do not contain forward-looking guidance or management commentary on future performance.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness. No specific operational risks or contingencies are disclosed in this table.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio by summing the "Value" column, as the total is not explicitly stated.
- Confirm the voting authority status (Sole, Shared, or None) for specific holdings, noting that some positions (e.g., Altria Group, Bank of Montreal) have "None" listed for sole voting authority.
- Check for "Other" (OTR) voting authority entries, which appear in several mutual fund holdings (e.g., Ishares, SPDR, Vanguard).
- Review the specific CUSIP numbers to ensure accurate identification of the securities, particularly for foreign stocks and mutual funds.