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. The report covers the calendar quarter ended December 31, 2020, and was signed by Mark Douce, Chief Compliance Officer, on February 11, 2021. The report 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 revenue, profit, cash flow, margins, debt, or liquidity for Capital One Financial Corp.
- Total Value of Reported Holdings: $750,902,000 (750,902 thousands)
- Total Number of Holdings Entries: 193
- Number of Other Included Managers: 1 (United Income, Inc.)
Material Changes
The filing text does not provide comparative data against the prior period (September 30, 2020) to determine material changes in holdings or value. The document serves as a snapshot of holdings at the end of the reporting period.
Guidance, Outlook, and Risks
This filing type does not contain management commentary, forward-looking guidance, risk factors, or contingencies regarding the issuer's business operations. It strictly lists securities held with discretionary authority.
Investor Verification Checklist
- Verify the total value of reported holdings ($750.9 million) against the issuer's 10-Q or 10-K filings for the same period to understand the proportion of the portfolio represented.
- Confirm the identity of the "Other Included Manager" (United Income, Inc.) to ensure accurate attribution of the reported holdings.
- Note that this filing reflects only equity securities held with investment discretion and excludes debt securities, derivatives, or non-discretionary accounts.