SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted by Capital One Financial Corp to the U.S. Securities and Exchange Commission. The reporting period covers holdings as of March 31, 2021. This form discloses the equity securities held by the investment manager, detailing the number of shares and value of each position.
Key Financial Metrics and Portfolio Composition
The filing provides a snapshot of the investment portfolio's composition rather than the company's operational financials (revenue, profit, cash flow). Key portfolio metrics include:
- Asset Class: The portfolio consists primarily of common stocks, limited partnership units, and Exchange-Traded Funds (ETFs).
- Voting Authority: Capital One Financial Corp reported Sole voting authority for all listed positions.
- Top Equity Holdings (by Value):
- Apple Inc: $5,418,000 (44,353 shares)
- Microsoft Corp: $4,655,000 (19,744 shares)
- Amazon.com Inc: $2,071,000 (669 shares)
- Home Depot Inc: $1,969,000 (6,451 shares)
- Walt Disney Co: $1,869,000 (10,130 shares)
- Top ETF Holdings (by Value):
- Goldman Sachs ETF Tr ActiveBeta Int: $61,277,000 (1,854,622 shares)
- Goldman Sachs ETF Tr ActiveBeta Eme: $26,239,000 (664,452 shares)
- Goldman Sachs ETF Tr ActiveBeta Us Lg: $6,454,000 (81,575 shares)
- SPDR Ser Tr Bloomberg Brc Inv: $20,026,000 (653,584 shares)
- SPDR Ser Tr Nuveen Blmbg Sr: $9,087,000 (183,362 shares)
Material Changes
The filing text does not provide comparative data against the prior quarter (December 31, 2020). Consequently, material changes in holdings, additions, or deletions cannot be determined from this document alone.
Guidance, Outlook, and Risks
Form 13F filings are historical disclosures of holdings and do not contain management commentary, forward-looking guidance, risk factors, or contingency plans. The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio by summing the "Value" column to assess the scale of the disclosed holdings.
- Compare these holdings against the previous quarter's Form 13F to identify significant trades or shifts in strategy.
- Confirm the "Sole" voting authority status to understand the extent of Capital One's control over these specific assets.
- Note that this filing represents only a subset of the company's total assets (equity securities) and does not reflect the company's core banking operations, loan portfolio, or liquidity position.