SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted by Capital One Financial Corp to the U.S. Securities and Exchange Commission. The reporting period covers holdings as of June 30, 2020. This form discloses the company's equity securities holdings, including common stocks, preferred stocks, and exchange-traded funds (ETFs), for which the company has investment discretion.
Key Financial Metrics and Portfolio Composition
The filing details a diversified portfolio of equity securities. While the document does not provide a single aggregate market value for the entire portfolio, it lists individual positions with values in thousands of dollars. Key observations include:
- Asset Classes: The portfolio consists of individual equities (e.g., Apple, Microsoft, Amazon) and a significant allocation to ETFs (e.g., iShares, Vanguard, SPDR, Invesco).
- Top Individual Equity Holdings (by Value):
- Apple Inc.: $7,307,000
- Amazon.com Inc.: $5,134,000
- Microsoft Corp.: $6,191,000
- Goldman Sachs ETF Tr ActiveBeta Int: $34,105,000
- Goldman Sachs ETF Tr ActiveBeta Eme: $12,498,000
- Top ETF Holdings (by Value):
- Goldman Sachs ETF Tr ActiveBeta Int: $34,105,000
- Goldman Sachs ETF Tr ActiveBeta Eme: $12,498,000
- Vanguard Charlotte Fds Intl Bd Idx Etf: $36,460,000
- Vanguard Malvern Fds Strm Infproidx: $23,969,000
- SPDR Ser Tr Bloomberg Brc Inv: $14,971,000
- Voting Authority: For all listed securities, Capital One Financial Corp reports Sole voting authority (Column 7 = 1) and None for shared or none (Columns 8 and 9 = 0).
Material Changes Versus Prior Period
Not Applicable. This filing is a snapshot of holdings as of June 30, 2020. The provided text does not contain comparative data from the prior quarter (March 31, 2020) or year-over-year figures to determine material changes in position size or portfolio composition.
Guidance, Outlook, and Risks
Not Applicable. Form 13F is a regulatory disclosure of holdings and does not contain management commentary, financial guidance, risk factors, or outlook statements. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total aggregate market value of the portfolio by summing the "Value" column (Column 4) across all listed securities, noting that values are in thousands.
- Confirm the specific CUSIP numbers for large positions (e.g., Goldman Sachs ETFs, Vanguard Bond ETFs) to ensure accurate identification of the underlying assets.
- Compare these holdings against the prior quarter's 13F filing (filed in May 2020) to identify significant buy/sell activity.
- Note that the filing lists "Titan Med Inc" with 100,000 shares valued at $84,000; verify if this represents a strategic investment or a standard market position.
- Review the "Investment Discretion" column to confirm that all listed assets are managed solely by Capital One Financial Corp (indicated as "DFND" or "1" in the source text).