Current Report Filing (8-k)
01 Settembre 2021 - 10:26PM
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
September 1, 2021
Date of Report (Date of earliest event reported)
CAPITAL ONE FINANCIAL CORPORATION
(Exact name of registrant as specified in its
charter)
Delaware
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001-13300
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54-1719854
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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1680 Capital One Drive,
McLean, Virginia
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22102
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s
telephone number, including area code: (703) 720-1000
(Not applicable)
(Former name or former
address, if changed since last report)
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):
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☐
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Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
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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)
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Name of Each Exchange on Which Registered
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Common Stock (par value $.01 per share)
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COF
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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 G
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COF PRG
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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 H
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COF PRH
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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
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COF PRI
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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
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COF PRJ
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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
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COF PRK
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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
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COF PRL
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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
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COF PRN
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New York Stock Exchange
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0.800% Senior Notes Due 2024
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COF24
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New York Stock Exchange
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1.650% Senior Notes Due 2029
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COF29
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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 5.03 Amendments to Articles of Incorporation or Bylaws; Change
in Fiscal Year.
On September 1, 2021, Capital One Financial Corporation (the “Company”)
filed a Certificate of Elimination to its Restated Certificate of Incorporation with the Secretary of State of the State of Delaware eliminating
from the Restated Certificate of Incorporation all matters set forth in the Certificate of Designations with respect to its Fixed-to-Floating
Rate Non-Cumulative Perpetual Preferred Stock, Series E (the “Preferred Stock”).
All outstanding shares of the Preferred Stock were redeemed on September
1, 2021. A copy of the Certificate of Elimination relating to the Preferred Stock is attached as Exhibit 3.1 to this Current Report on
Form 8-K and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
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: September 1, 2021
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By:
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/s/ Matthew W. Cooper
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Name:
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Matthew W. Cooper
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Title:
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General Counsel
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Grafico Azioni Capital One Financial (NYSE:COF)
Storico
Da Feb 2024 a Mar 2024
Grafico Azioni Capital One Financial (NYSE:COF)
Storico
Da Mar 2023 a Mar 2024