SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: CAPITAL ONE FINANCIAL CORP
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended March 31, 2022
Context: This filing discloses the equity securities held by Capital One Financial Corp as a registered investment manager. It details holdings in individual stocks and exchange-traded funds (ETFs) as of the end of the first quarter of 2022.
Key Financial Metrics and Portfolio Composition
The filing provides a snapshot of investment positions rather than the company's operational financial results (revenue, profit, cash flow). Key portfolio metrics include:
- Total Disclosed Positions: 72 distinct securities listed.
- Asset Classes: The portfolio is heavily weighted toward Exchange-Traded Funds (ETFs), including broad market indices (S&P 500, MSCI), fixed income (Treasury, Corporate, Municipal bonds), and international equities. Individual equity holdings include major technology and consumer staples firms.
- Top Individual Equity Holdings (by Value):
- Microsoft Corp: $3,227,000
- Eli Lilly & Co: $2,005,000
- Apple Inc: $1,968,000
- Home Depot Inc: $1,169,000
- McDonald's Corp: $1,032,000
- Top ETF Holdings (by Value):
- Goldman Sachs ETF Tr ActiveBeta Int: $9,943,000
- Ishares Tr Msci Usa Min Vol: $10,977,000
- Ishares Tr Msci Usa Qlt Fct: $7,099,000
- Ishares Tr Msci Usa Value: $4,607,000
- Vanguard Mun Bd Fds Tax Exempt Bd: $6,446,000
Material Changes and Voting Authority
Voting Authority: For all listed securities, Capital One Financial Corp reported Sole voting authority. There were no shared or none voting authority positions reported in this table.
Material Changes: As a quarterly snapshot, this filing does not explicitly state the change in position size compared to the prior quarter (December 31, 2021). Investors must compare this table against the previous 13F filing to determine net purchases or sales.
Guidance, Outlook, and Risks
Guidance and Outlook: This filing type (Form 13F) does not contain management commentary, forward-looking guidance, or strategic outlook for Capital One Financial Corp's banking operations.
Risks and Contingencies: The filing includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness. No specific operational risks or contingencies are disclosed in this document.
Important Facts for Investor Verification
- Investment vs. Operations: Verify that this data reflects Capital One's investment portfolio (assets held), not its core banking revenue or loan book performance.
- Valuation Basis: Confirm that the "Value" column represents the approximate market value of the holdings at the end of the reporting period (March 31, 2022), not the cost basis.
- Discretionary Authority: Note that all listed positions are held with "Discretionary" authority, meaning Capital One has the power to buy and sell these securities without client approval for each transaction.
- Missing Data: The filing does not provide data on derivatives (options/futures) unless they are reportable under specific 13F rules, nor does it detail the company's own debt levels or liquidity ratios.