COF

SEC Filing Summary: Form 13F Information Table

Business Context and Reporting Period

Company: CAPITAL ONE FINANCIAL CORP
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended December 31, 2021
Context: This filing discloses the equity securities held by Capital One Financial Corp as a registered investment manager. It lists holdings in individual stocks and exchange-traded funds (ETFs) with sole voting authority.

Key Financial Metrics and Holdings

Portfolio Composition: The filing details a diversified portfolio consisting of individual equities and a significant allocation to ETFs covering domestic and international markets, bonds, and specific sectors.
Top Individual Equity Holdings (by Value):

• Apple Inc: $7,558,000 (42,564 shares)
• Amazon.com Inc: $2,399,000 (720 shares)
• Microsoft Corp: $6,024,000 (17,910 shares)
• Alphabet Inc (Class A): $978,000 (338 shares)
• Alphabet Inc (Class C): $748,000 (259 shares)

Top ETF Holdings (by Value):

• Goldman Sachs ETF Tr ActiveBeta Int: $60,690,000 (1,720,729 shares)
• Goldman Sachs ETF Tr ActiveBeta EME: $22,877,000 (618,122 shares)
• Goldman Sachs ETF Tr ActiveBeta US LG: $10,035,000 (105,475 shares)
• ISHARES TR MSCI USA MIN VOL: $48,407,000 (598,357 shares)
• ISHARES TR MSCI USA QLT FCT: $82,595,000 (567,431 shares)

Asset Classes: The portfolio includes significant exposure to fixed income via ETFs (e.g., TIPS, Treasury Bonds, Corporate Bonds) and equities across technology, healthcare, consumer discretionary, and financial sectors.

Material Changes

The filing text provided is a static snapshot of holdings as of December 31, 2021. It does not contain comparative data from the prior quarter (September 30, 2021) or year-over-year figures. Therefore, material changes in position size or new entries cannot be determined from this document alone.

Guidance, Outlook, and Risks

Management Commentary: Form 13F filings are regulatory disclosures of holdings and do not contain management commentary, forward-looking guidance, or strategic outlooks.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness. No specific risk factors or contingencies related to the company's operations are disclosed in this format.

Investor Verification Checklist

• Total Portfolio Value: Verify the aggregate value of all holdings by summing the "VALUE" column, as the filing does not provide a total portfolio summary figure.
• Concentration Risk: Assess the concentration in specific ETFs (e.g., Goldman Sachs ActiveBeta series and iShares) which represent a substantial portion of the disclosed value.
• Comparison to Prior Period: Retrieve the Q3 2021 Form 13F filing to calculate net purchases or sales for specific tickers.
• Voting Authority: Confirm that all listed positions are held with "Sole" voting authority, as indicated in the "VOTING AUTHORITY" column.
• Exclusions: Note that this filing only covers equity securities; it does not disclose derivatives, debt holdings, or cash positions.