SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR (Holdings Report) submitted by Capital One, National Association, an institutional investment manager. The report covers the calendar quarter ended December 31, 2006, and was signed on February 8, 2007. The filing discloses equity securities held by the manager for which it has investment discretion.
Key Financial Metrics
As a 13F filing, this document reports portfolio holdings rather than the operating financials (revenue, profit, cash flow) of Capital One Financial Corp. The key metrics provided relate to the investment portfolio:
- Total Portfolio Value: $1,105,423,000 (approx. $1.11 billion).
- Total Number of Holdings: 682 distinct entries.
- Top Holdings by Value:
- Exxon Mobil Corp: $47,808,000
- General Electric Co: $24,246,000
- Microsoft Corp: $16,155,000
- Johnson & Johnson: $20,265,000
- Bank of America Corp: $20,304,000
- Debt and Liquidity: Not applicable; this form does not report the manager's corporate debt or liquidity positions.
Material Changes
The filing text does not provide comparative data for the prior quarter (September 30, 2006). Therefore, material changes in holdings, additions, or deletions versus the prior period cannot be determined from this document alone.
Guidance, Outlook, and Risks
Form 13F filings are historical disclosures of holdings and do not contain management commentary, forward-looking guidance, risk factors, or contingency plans. The filing includes a standard representation that the information is true, correct, and complete.
Investor Verification Checklist
- Portfolio Concentration: Verify the top 10 holdings to assess sector exposure (notably heavy weighting in Energy, Technology, and Financials).
- Self-Holding: Note that the portfolio includes a position in Capital One Financial Corp (approx. $2.86 million value), indicating the manager holds its own parent company stock.
- Voting Authority: Review the "Voting Authority" columns to distinguish between shares held with sole authority versus shared or none, which may impact proxy voting influence.
- Derivatives: Check for "Put" or "Call" options in the data columns to identify hedging strategies or speculative positions.
- Historical Context: Cross-reference with the Q3 2006 13F filing to calculate actual turnover and net buying/selling activity.