SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted to the U.S. Securities and Exchange Commission. The reporting entity is Lloyds Banking Group Plc, and the data reflects holdings as of the period ending September 30, 2015. This form discloses equity securities held by institutional investment managers.
Key Financial Metrics and Holdings
The filing details a portfolio of 53 equity positions, including common stocks and exchange-traded funds (ETFs). The total value of reported holdings is approximately $100,000,000 (sum of Column 4 values in thousands).
- Top Holdings by Value:
- JPMorgan Chase & Co: $1,760,000 (28,892 shares)
- Pfizer Inc: $550,000 (17,536 shares)
- EMC Corp: $421,000 (17,437 shares)
- Johnson & Johnson: $467,000 (5,008 shares)
- Microsoft Corp: $512,000 (11,597 shares)
- Investment Authority: All reported positions are held with Sole Discretion (Column 7).
- Derivatives: No put or call options are reported in this table.
Material Changes
The filing text provided is a static snapshot of holdings as of the reporting date. It does not contain comparative data from the prior quarter, nor does it explicitly list additions, deletions, or changes in share counts versus the previous period. Therefore, material changes cannot be determined from this document alone.
Guidance, Outlook, and Risks
This Form 13F is a regulatory disclosure of holdings and does not contain management commentary, financial guidance, outlook statements, or risk factors. The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio against Lloyds Banking Group's broader investment strategy.
- Confirm the specific share counts for top holdings (e.g., JPMorgan Chase, Pfizer) against market prices on September 30, 2015, to validate the reported values.
- Check subsequent 13F filings to identify any changes in these positions during the following quarter.
- Note that the filing lists "DFND" in the voting authority column, which typically indicates the manager has sole discretion to vote the shares.