SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Bank OZK
Filing Type: Form 13F Information Table (Statement of Holdings)
Reporting Period: The filing text does not explicitly state the reporting period end date in the narrative, though the metadata suggests "2026 Jun 30". The document lists holdings as of the most recent quarter-end required by SEC regulations for institutional investment managers.
Context: This filing discloses the equity securities held by Bank OZK (or its investment management arm) that are subject to reporting under Section 13(f) of the Exchange Act. It details the number of shares, value, and voting authority for each position.
Key Financial Metrics and Holdings
Portfolio Composition: The filing lists a diversified portfolio of large-cap equities and exchange-traded funds (ETFs). Specific revenue, profit, or cash flow metrics for Bank OZK are not contained in this document, as Form 13F reports asset holdings, not operating performance.
Top Holdings by Value (Selected):
- Apple Inc.: 60,117 shares (Sole: 52,645; Other: 5,121) valued at approximately $17.4M.
- NVIDIA Corporation: 64,124 shares (Sole: 59,191; Other: 865) valued at approximately $12.8M.
- Microsoft Corp: 28,250 shares (Sole: 20,819; Other: 6,489) valued at approximately $10.5M.
- Bank of America Corp: 120,468 shares (Sole: 105,173; Other: 10,600) valued at approximately $7.3M.
- Amazon.com Inc: 2,961 shares (Sole: 2,524; Other: 0) valued at approximately $1.9M.
Self-Holding: Bank OZK holds 5,818 shares of its own common stock (CUSIP 06417N103) with sole voting authority, valued at approximately $1.8M.
Material Changes and Voting Authority
Voting Authority: The filing distinguishes between "Sole," "Shared," and "None" voting authority. A significant portion of the portfolio is held with "Sole" voting authority, indicating direct control over voting decisions for those shares. "Other" (OTR) authority often indicates shares held in a custodial or managed capacity where the bank does not have sole discretion.
Derivatives: The filing includes columns for Put/Call options. Several positions show non-zero values in the "Put" or "Call" columns (e.g., Alphabet Inc. Class A has 147 calls and 377 puts; Bank of America has 308 calls and 831 puts), indicating the use of derivatives for hedging or speculation.
Guidance, Risks, and Contingencies
Guidance: This filing type does not contain management guidance, outlook, or commentary on future performance.
Risks and Contingencies: The document includes a standard disclaimer: "The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete." The primary risk disclosed is the concentration in specific sectors (Technology, Financials, Healthcare) and the exposure to market volatility inherent in equity holdings.
Key Facts for Investor Verification
- Reporting Entity: Verify if the holdings represent the bank's proprietary trading book or assets managed on behalf of clients (indicated by the mix of "Sole" and "Other" voting authority).
- Self-Ownership: Confirm the 5,818 shares of Bank OZK stock held by the entity and the associated voting power.
- Derivative Exposure: Review the specific Put/Call positions for major holdings like Alphabet and Bank of America to understand hedging strategies.
- Period Accuracy: Cross-reference the metadata date (2026 Jun 30) with the actual filing date to ensure the data reflects the intended quarter, as the text itself lacks a specific date header.
- Concentration Risk: Assess the impact of the top 10 holdings (including Apple, NVIDIA, Microsoft, and various ETFs) on the overall portfolio value.