SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: NICOLET BANKSHARES INC
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended September 30, 2017
Context: This filing discloses the equity securities held by the company as of the end of the reporting period. It is a regulatory requirement for institutional investment managers and does not contain operational financial statements (e.g., revenue, profit, or cash flow) for the company itself.
Key Financial Metrics
Revenue, Profit, Cash Flow, Margins, Debt, Liquidity: The filing text does not provide a clear value for these metrics. Form 13F filings report investment holdings, not the issuer's operating performance or balance sheet.
Portfolio Composition: The filing lists numerous equity positions, including common stocks and exchange-traded funds (ETFs). Notable holdings include:
- Self-Holding: NICOLET BANKSHARES INC (716,950 shares, approx. $41.2M value).
- Top Equity Holdings (by value): General Electric Corp ($1.5M), Wells Fargo & Co ($2.7M), ExxonMobil Corp ($2.6M), Apple Inc ($4.0M), and Alphabet Inc (Class A & C combined).
- ETF Holdings: Significant allocations to Vanguard and iShares ETFs covering global markets, S&P 500, and bond indices.
Material Changes
Comparison to Prior Period: The filing text does not provide a clear value for changes versus the prior comparable period. Form 13F tables list current holdings but do not explicitly state the delta from the previous quarter within the provided text.
Guidance, Outlook, and Risks
Management Commentary: None provided in this filing type.
Guidance/Outlook: None provided.
Risks/Contingencies: The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness. No specific operational risks or contingencies are detailed in this document.
Investor Verification Checklist
- Verify the total aggregate value of the reported portfolio against the company's most recent 10-Q or 10-K to understand the proportion of assets under management.
- Confirm the specific voting authority (Sole, Shared, None) for the large self-holding in NICOLET BANKSHARES INC.
- Review the company's separate 10-Q filing for the quarter ended September 30, 2017, to obtain actual revenue, profit, and liquidity data.
- Check for any "Other" voting authority designations that may indicate complex derivative or trust structures not immediately apparent in the share count.