SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Capital One Financial Corp, an institutional investment manager, for the quarter ended September 30, 2020. The report was signed by Elizabeth Sather Sabin, Vice President, Head of Investments, on November 4, 2020. The filing includes holdings for Capital One Financial Corp and one other included manager, United Income, Inc.
Key Financial Metrics
As a Form 13F-HR, this document reports equity holdings rather than the issuer's operational financial performance. Consequently, the filing does not provide data on Capital One Financial Corp's revenue, profit, cash flow, margins, debt, or liquidity.
- Total Value of Reported Holdings: $791,463,000 (791,463 thousands)
- Total Number of Holdings Entries: 249
- Other Included Managers: 1 (United Income, Inc.)
Material Changes
The filing text does not provide comparative data for the prior period; therefore, material changes in holdings value or composition versus the previous quarter cannot be determined from this document alone.
Guidance, Outlook, and Risks
This form is a regulatory disclosure of investment positions and does not contain management commentary, future guidance, risk factors, contingencies, or unusual items related to the company's operations.
Investor Verification Checklist
- Verify the total value of reported holdings ($791.5 million) against the company's total investment portfolio to determine if this represents the full scope of their equity investments.
- Confirm the identity of the "Other Included Manager" (United Income, Inc.) to understand the scope of the consolidated reporting.
- Note that this filing reflects positions as of September 30, 2020, and does not reflect subsequent market movements or trading activity.
- Recognize that operational financial metrics (revenue, earnings, etc.) are not available in this filing and must be sourced from the company's 10-Q or 10-K reports.