SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
Reporting Manager: Capital One Financial Corporation
Filing Type: Form 13F Combination Report (Holdings Report)
Reporting Period: Quarter ended September 30, 2009
Filing Date: November 10, 2009
Context: This filing discloses the equity securities held by Capital One Financial Corporation's brokerage and trust division (COAM) as of the end of the third quarter of 2009. It is a combination report, indicating that some holdings are reported by other managers (specifically Capital One, National Association).
Key Financial Metrics
Total Portfolio Value: $58,835,000 (Reported in thousands)
Total Number of Holdings: 766 entries
Asset Class: Primarily common stocks, American Depositary Receipts (ADRs), and Exchange Traded Funds (ETFs).
Top Holdings by Value (Selected):
- Verizon Communications Inc: $31,198,000 (944,000 shares)
- AT&T Inc: $42,650,000 (1,152,000 shares)
- Johnson & Johnson: $23,127,000 (1,408,000 shares)
- Microsoft Corp: $21,492,000 (553,000 shares)
- Exxon Mobil Corp: $18,237,000 (1,251,000 shares)
- Procter & Gamble Co: $18,210,000 (1,055,000 shares)
- General Electric Co: $27,179,000 (446,000 shares)
- Bank of America Corp: $22,598,000 (382,000 shares)
- Walmart Stores Inc: $11,475,000 (563,000 shares)
- Apple Inc: $1,730,000 (321,000 shares)
Note: The filing lists 766 individual line items. The values above represent the largest positions identified in the text.
Material Changes vs. Prior Period
The filing text provided does not contain comparative data for the prior quarter (June 30, 2009). Consequently, specific material changes in holdings, additions, or deletions cannot be calculated from this document alone.
Guidance, Outlook, and Risks
Management Commentary: None. Form 13F filings are statutory disclosures of holdings and do not include management discussion, financial guidance, or forward-looking statements.
Risks and Contingencies: None disclosed in this specific filing format. The report is a snapshot of equity ownership and does not detail the risk profile of the underlying portfolio or the reporting manager's broader financial condition.
Unusual Items: The portfolio includes significant exposure to financial sector stocks (e.g., Bank of America, Citigroup, Wells Fargo) and energy sector stocks (e.g., Exxon Mobil, Chevron, ConocoPhillips), which were highly volatile during the 2009 reporting period.
Investor Verification Checklist
- Verify the total portfolio value of $58.8 million represents only the specific brokerage/trust division (COAM) and not the entire Capital One Financial Corporation balance sheet.
- Confirm the "Combination Report" status implies that Capital One, National Association (File No. 28-931) holds additional assets not listed in this specific table.
- Review the concentration risk in the top 10 holdings, which appear to represent a significant portion of the total reported value.
- Check subsequent filings (13F-HR for Q4 2009) to determine if these positions were maintained, increased, or liquidated.