SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Capital One Financial Corp, an institutional investment manager. The report covers the calendar quarter ended June 30, 2021. The filing was signed by Corey Lawson, Chief Compliance Officer, on August 16, 2021. This report includes holdings for Capital One Financial Corp and one other included manager, Capital One Investing, Inc.
Key Financial Metrics
As a Form 13F filing, this document reports equity holdings rather than the issuer's operational financial performance. Consequently, data regarding revenue, profit, cash flow, margins, debt, and liquidity for Capital One Financial Corp are not present in this text.
- Total Value of Reported Holdings: $823,775,000 (823,775 thousands)
- Total Number of Holdings Entries: 191
- Number of Other Included Managers: 1 (Capital One Investing, Inc.)
Material Changes
The filing text does not provide comparative data against the prior period (March 31, 2021) to determine material changes in holdings or total portfolio value. The document serves as a snapshot of holdings at the end of the reporting period.
Guidance, Outlook, and Risks
This filing type does not contain management commentary, forward-looking guidance, risk factors, or contingencies related to the company's business operations. It strictly lists securities held with discretionary authority.
Investor Verification Checklist
- Verify the total portfolio value of $823.8 million represents only the discretionary equity holdings reported in this specific 13F filing, not the company's total assets.
- Confirm that the 191 entries listed represent the complete set of reportable holdings for the quarter.
- Note that this filing includes data for Capital One Investing, Inc. (File No. 028-19007) in addition to the primary filer.
- Recognize that operational financial metrics (revenue, earnings, etc.) must be sourced from the company's 10-Q or 10-K filings, not this 13F report.