SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
Reporting Manager: Capital One Financial Corporation
Filing Type: Form 13F-HR (Institutional Investment Manager Holdings Report)
Report Type: 13F Combination Report (portion of holdings reported here, portion by other managers)
Reporting Period: Quarter ended March 31, 2009
Date Filed: May 15, 2009
Signatory: Jean K. Traub, Assistant Secretary
Key Financial Metrics
Note: As a Form 13F filing, this document reports equity holdings and does not contain the reporting manager's own revenue, profit, cash flow, or debt metrics.
- Total Value of Reported Holdings: $50,540,000 (Value Total in thousands)
- Total Number of Holdings Reported: 752 entries
- Number of Other Included Managers: 0
- Investment Discretion: Defined for all reported positions
- Top Holdings by Value (Selected):
- General Electric Co: $72,541,000
- Johnson & Johnson: $22,841,000
- Microsoft Corp: $24,459,000
- Procter & Gamble Co: $21,412,000
- Verizon Communications Inc: $36,414,000
- AT&T Inc: $46,329,000
- Exxon Mobil Corp: $18,477,000
Material Changes and Portfolio Composition
This filing represents a snapshot of holdings as of March 31, 2009. The document does not provide comparative data against the prior quarter (December 31, 2008) to calculate material changes in position size or total portfolio value. The portfolio is heavily diversified across sectors including Technology, Healthcare, Energy, Financials, and Consumer Staples. A significant portion of the portfolio value is concentrated in large-cap U.S. equities and Exchange Traded Funds (ETFs), including multiple iShares and SPDR trusts.
Guidance, Outlook, and Risks
Guidance and Outlook: Not applicable. Form 13F filings are regulatory disclosures of past holdings and do not contain forward-looking guidance, management commentary, or strategic outlooks.
Risks and Contingencies: Not applicable. The filing does not disclose specific risk factors or contingencies related to the reporting manager's operations. The "Combination Report" status indicates that Capital One Financial Corporation utilizes other reporting managers for a portion of its investment activities, which is a structural detail rather than a disclosed risk.
Investor Verification Checklist
- Verify the total portfolio value ($50.54 million) represents only a portion of Capital One Financial Corporation's total investment assets, as indicated by the "Combination Report" status.
- Confirm the specific holdings managed by the "Other Managers" listed in the filing (Capital One, National Association) to understand the full scope of the firm's equity exposure.
- Note that the filing date (May 15, 2009) reflects market conditions and prices as of March 31, 2009, which may differ significantly from current valuations.
- Review the "Defined" investment discretion column to confirm the reporting manager had sole authority over these specific positions.