SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: CAPITAL ONE FINANCIAL CORP
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended September 30, 2021
Context: This filing discloses the equity securities held by Capital One Financial Corp as of the end of the reporting period. It details the issuer, class of security, CUSIP, value (in thousands), and voting authority for each holding.
Key Financial Metrics and Portfolio Composition
Portfolio Overview: The filing lists a diversified portfolio consisting of individual equities and a significant allocation to Exchange-Traded Funds (ETFs) and mutual funds.
Valuation: Values are reported in thousands of dollars (Column 4).
Voting Authority: Capital One reports "Sole" voting authority for all listed positions (Column 7 = 1, Shared = 0, None = 0).
Notable Holdings by Value (Selected):
- Goldman Sachs ETF TR ActiveBeta Int: $60,353,000 (1,766,264 shares)
- ISHARES TR MSCI USA MIN VOL: $79,585,000 (1,082,790 shares)
- ISHARES TR MSCI USA QLT FCT: $49,181,000 (373,344 shares)
- ISHARES TR MSCI USA MMENTM: $46,974,000 (267,506 shares)
- ISHARES TR US TREAS BD ETF: $23,419,000 (882,723 shares)
- ISHARES TR USD INV GRDE ETF: $30,956,000 (515,068 shares)
- VANGUARD BD INDEX FDS TOTAL BND MRKT: $39,235,000 (459,158 shares)
- VANGUARD CHARLOTTE FDS TOTAL INT BD ETF: $35,379,000 (621,121 shares)
- APPLE INC: $6,344,000 (44,833 shares)
- AMAZON COM INC: $2,494,000 (759 shares)
Material Changes Versus Prior Period
The filing text provided does not contain data for the prior comparable period (June 30, 2021). Consequently, material changes in holdings, additions, or deletions cannot be calculated or summarized from this document alone.
Guidance, Outlook, and Risks
Guidance and Outlook: Form 13F filings are historical disclosures of holdings and do not contain forward-looking guidance, management commentary, or strategic outlooks.
Risks and Contingencies: The filing includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness. No specific risk factors or contingencies related to the portfolio are disclosed in this table.
Unusual Items: The portfolio includes a holding in TITAN MED INC (100,000 shares valued at $152,000), which may warrant verification given the relatively high share count for a lower total value compared to other holdings.
Investor Verification Checklist
- Total Portfolio Value: Verify the aggregate value of all holdings to assess the total size of the disclosed equity portfolio.
- ETF Concentration: Confirm the specific exposure to factor-based ETFs (e.g., Momentum, Quality, Low Volatility) which represent a significant portion of the reported value.
- Derivatives: Note that the "PRN AMT" (Principal Amount) and "PUT/CALL" columns are blank for all entries, indicating no reported options or derivatives in this specific table.
- Comparison: Cross-reference this filing with the Q2 2021 Form 13F to identify specific trades executed during the third quarter.
- Issuer Accuracy: Verify the CUSIP numbers for the large block holdings (e.g., Goldman Sachs ETFs, iShares) to ensure correct classification of assets.