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, 2021. The report was signed by D. Corey Lawson, Chief Compliance Officer, on November 10, 2021. The filing includes holdings for Capital One Financial Corp and one other included manager, Capital One Investing, 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 revenue, profit, cash flow, margins, debt, or liquidity for Capital One Financial Corp itself.
- Total Value of Reported Holdings: $809,533,000 (reported in thousands).
- Total Number of Holdings Entries: 192.
- Other Included Managers: 1 (Capital One Investing, Inc., File No. 028-19007).
Material Changes
The filing text does not provide comparative data against the prior period (June 30, 2021) to determine material changes in holdings or total portfolio value. The document lists current holdings but lacks historical comparison tables within the provided text.
Guidance, Outlook, and Risks
This filing type does not contain management commentary, forward-looking guidance, risk factors, or contingencies regarding the company's business operations. It strictly discloses securities held for investment purposes.
Investor Verification Checklist
- Verify the total portfolio value of $809.5 million represents only the specific investment accounts managed under this 13F filing and not the company's total assets.
- Confirm the inclusion of Capital One Investing, Inc. as a separate manager within this consolidated report.
- Note that this filing does not reflect the company's own financial health (e.g., loan portfolio, deposits, earnings); refer to Form 10-Q or 10-K for operational metrics.
- Check the full schedule of 192 holdings to understand the specific asset allocation, as the summary text does not list individual securities.