Current Report Filing (8-k)
December 15 2021 - 06:01AM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
December 15, 2021
Date of Report (Date of earliest event reported)
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CAPITAL ONE FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware |
001-13300 |
54-1719854 |
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(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
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1680 Capital One Drive, |
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McLean, |
Virginia |
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22102 |
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(Address of principal executive offices) |
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(Zip Code) |
Registrant’s telephone number, including area code:
(703) 720-1000
(Not applicable)
(Former name or former address, if changed since last
report)
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Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2.
below):
☐ Written
communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
☐ Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
☐ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the
Act:
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Title of Each Class
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Trading Symbol(s) |
Name of Each Exchange on Which Registered |
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Common Stock (par value $.01 per share) |
COF |
New York Stock Exchange
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Depositary Shares, Each Representing a 1/40th Interest in a Share
of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series
I |
COF PRI |
New York Stock Exchange
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Depositary Shares, Each Representing a 1/40th Interest in a Share
of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series
J |
COF PRJ |
New York Stock Exchange
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Depositary Shares, Each Representing a 1/40th Interest in a Share
of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series
K |
COF PRK |
New York Stock Exchange
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Depositary Shares, Each Representing a 1/40th Interest in a Share
of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series
L |
COF PRL |
New York Stock Exchange
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Depositary Shares, Each Representing a 1/40th Interest in a Share
of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series
N |
COF PRN |
New York Stock Exchange
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0.800% Senior Notes Due 2024 |
COF24 |
New York Stock Exchange
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1.650% Senior Notes Due 2029 |
COF29 |
New York Stock Exchange
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Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933
(§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange
Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange
Act.
☐
Item 7.01 Regulation
FD Disclosure.
Capital One Financial Corporation (the “Company”) hereby furnishes
the information in Exhibit 99.1 hereto, Monthly Charge-Off and
Delinquency Metrics - As of and for the month ended November 30,
2021.
Note:
Information in this report (including the exhibit) furnished
pursuant to Item 7.01 shall not be deemed to be “filed” for
the purposes of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that Section. This
report will not be deemed an admission as to the materiality of any
information in the report that is required to be disclosed solely
by Regulation FD. Furthermore, the information provided in
Exhibit 99.1 shall not be deemed incorporated by reference into any
filing under the Securities Act of 1933 or the Securities Exchange
Act of 1934.
Item 9.01 Financial
Statements and Exhibits.
(d) Exhibits
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Exhibit No. |
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Description |
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99.1 |
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104 |
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The cover page from this Current Report on Form 8-K, formatted in
Inline XBRL |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of
1934, the Company has duly caused this Current Report on Form 8-K
to be signed on its behalf by the undersigned hereunto duly
authorized.
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CAPITAL ONE FINANCIAL CORPORATION |
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Date: December 15, 2021
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By: |
/s/ TIMOTHY P. GOLDEN |
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Timothy P. Golden |
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Controller and Principal Accounting Officer |
Capital One Financial (NYSE:COF)
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