SEC Form 13F Information Table Summary
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted to the U.S. Securities and Exchange Commission. The reporting period ends on March 31, 2017. The filing discloses the equity securities held by the reporting manager, identified in the metadata as Lloyds Banking Group Plc, at the end of the quarter.
Key Financial Metrics and Portfolio Composition
The filing details a portfolio of U.S. equity securities and exchange-traded funds (ETFs). The table lists the issuer name, class of security, CUSIP, value (in thousands of dollars), and share/principal amount. Voting authority for all listed positions is reported as Sole.
| Issuer | Value ($000s) | Shares/Principal |
|---|---|---|
| JPMorgan Chase & Co | 2,478 | 28,209 |
| Oracle Corp | 308 | 6,907 |
| Globus Med Inc | 202 | 6,827 |
| Comcast Corp | 199 | 5,316 |
| IntercontinentalExchange Group | 274 | 4,583 |
| Schwab Charles Corp | 194 | 4,775 |
| BorgWarner Inc | 251 | 6,022 |
| Bank of the Ozarks Inc | 174 | 3,351 |
Note: The table above highlights select positions. The full filing contains approximately 60 distinct holdings, including positions in Apple Inc, Pfizer Inc, and various sector ETFs.
Material Changes and Comparisons
The filing text provided is a static snapshot of holdings as of March 31, 2017. It does not provide comparative data against the prior quarter (December 31, 2016) or year-over-year figures. Consequently, material changes in position size, new acquisitions, or divestitures cannot be determined from this document alone.
Guidance, Risks, and Management Commentary
Form 13F filings are regulatory disclosures of holdings and do not contain management commentary, forward-looking guidance, risk factors, or contingency plans. The document includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Reporting Entity: Verify that Lloyds Banking Group Plc is the correct reporting manager for this specific 13F filing, as the text itself does not explicitly name the filer in the body.
- Valuation Basis: Confirm that the "Value" column represents the fair market value of the securities at the end of the reporting period (March 31, 2017).
- Voting Rights: Note that the manager claims Sole voting authority for all listed positions, indicating no shared or none voting rights were exercised.
- Portfolio Concentration: JPMorgan Chase & Co represents the largest single position by value ($2,478,000) in this specific table.
- Missing Data: The filing does not disclose the total aggregate value of the entire portfolio, only the individual line items.