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 covers holdings as of March 31, 2016. The filer is identified in the metadata as Lloyds Banking Group Plc, though the document text itself does not explicitly state the filer's name in the header, only the form type and issuer holdings.
Note: Form 13F filings disclose equity securities held by institutional investment managers. They do not contain the filer's own financial performance data (revenue, profit, cash flow) or operational metrics.
Key Financial Metrics and Holdings
The filing details a portfolio of U.S. equity securities. The table provides the following data points for each holding:
- Value: Market value of the position in thousands of dollars (Column 4).
- Shares: Number of shares or principal amount (Column 5).
- Voting Authority: All listed positions show "Sole" voting authority (Column 8).
- Discretion: All positions are marked as "DFND" (Discretionary) (Column 7).
Top Holdings by Value (in thousands):
| Issuer | Value ($000s) | Shares |
|---|---|---|
| JPMorgan Chase & Co | 1,711 | 28,892 |
| Charles Schwab Corp | 376 | 13,443 |
| CVS Caremark Corporation | 395 | 3,810 |
| Oracle Corp | 363 | 8,891 |
| PVH Corp | 361 | 3,649 |
The filing does not provide aggregate portfolio value, total assets under management, or liquidity metrics for Lloyds Banking Group Plc.
Material Changes
This document is a snapshot of holdings as of the reporting date. It does not contain comparative data against the prior quarter (December 31, 2015) or year-over-year changes. Therefore, material changes in position size or portfolio composition cannot be determined from this text alone.
Guidance, Outlook, and Risks
Guidance and Outlook: The filing contains no management commentary, forward-looking statements, or financial guidance regarding Lloyds Banking Group Plc or the underlying issuers.
Risks and Contingencies: No specific risks or contingencies are disclosed in this form. The standard SEC disclaimer notes that the Commission has not reviewed the information for accuracy or completeness.
Unusual Items: The filing lists standard equity positions (Common Stock) and Exchange Traded Funds (ETFs). No unusual items, derivatives (other than standard call/put columns which are empty), or complex instruments are evident in the provided text.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio by summing the "Value" column, as the total is not explicitly stated in the text.
- Confirm the identity of the filer (Lloyds Banking Group Plc) against the official SEC EDGAR database, as the name appears in metadata but not the document header.
- Compare these holdings against the previous quarter's 13F filing to identify net buys or sells.
- Note that "Value" is reported in thousands; ensure correct scaling when calculating total exposure.
- Check for any footnotes or amendments that might explain the "DFND" (Discretionary) designation or specific voting arrangements.