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Capital One Financial Corp. 
 VA
  SEC # 927628


        
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3,972  SEC Filings
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  from  2/14/95  to  4/12/24  (7 Days Ago)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘PX14A6G’ — Notice of an Exempt Non-Management Proxy Solicitation — Filed re:  Issuer / Subject Company — Filed by:  New York State Common Retirement Fund 
 
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notifications of all
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Filings
involving  Capital One Financial Corp. 

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Forms
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, Documents
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& Exhibits
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 in  1,452 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/21/24 New Document this Past Month!425Registration:  Prospectuses and Communications – Mergers  New Document this Past Month! 48
3/20/24 New Document this Past Month!ARSUpdate:  Annual Reports to Security Holders  New Document this Past Month! 12
3/20/24 New Document this Past Month!DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  New Document this Past Month! 25
3/20/24 New Document this Past Month!DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  New Document this Past Month!  — Financial Reports
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28
3/14/248-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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781

8-K Items: 
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2/22/24
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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20
5/1/12 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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4
1/25/24"Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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81
8/20/07 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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2
2/17/12 OLD
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  Securities & Trading: 
Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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2
7/29/21 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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15
2/29/24
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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58
12/1/21 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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27
10/3/08 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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4
7/26/23"Submission of Matters to a Vote of Security Holders — Item 5.0715
3/14/24
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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395
3/11/24
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  Events: 
Other Events — Item 8.01207
3/14/24
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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542

3/11/24424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events74
3/11/24S-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-37
2/22/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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39
1/30/24424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities57
1/29/24FWPRegistration:  Prospectuses – Free Writing57
1/25/24CORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC
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32
11/2/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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101
6/23/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K32
5/23/23S-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-834
3/3/23 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD  — Financial Reports
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1
3/3/23 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD  — Financial Reports
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10
4/13/22 OLD13F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management
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15
12/13/21 OLD15-12BRegistration:  Certifications of Terminations of Registration of Classes of Securities — Form 15  OLD 5
7/29/21 OLDCERTTrading:  Certifications by Securities Exchanges Approving Listings — Form CERT  OLD 6
7/29/21 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 15
11/30/16 OLDCERTNYSTrading:  Certifications by the NYSE Approving Listings — Form CERT  OLD 9
7/29/16 OLDIRANNOTICEUpdate:  Notice of an Iran/Syria Disclosure in a Quarterly or Annual Report  OLD 1
2/19/16 OLDNO ACTSEC:  SEC No-Action Letters re: Shareholder Proposals  OLD 8
8/22/13 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 15
8/22/13 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 2
8/8/13 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 7
9/6/12 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 6
2/7/12 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 2
3/14/11 OLDSC 13DOwnership:  Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D  OLD 1
5/11/10 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 7
7/29/09 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 4
12/12/08 OLDPOSASRRegistration:  Post-Effective Amendments of Automatic Shelf Registration Statements — Form S-3/F-3ASR  OLD 2
3/28/08 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
7/2/07 OLDNT 11-KUpdate:  Notice of a Late Filing of a Form 11-K Annual Report — Form 12b-25  OLD 1
12/6/06 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 3
12/28/05 OLD25Trading:  Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities — Form 25  OLD 2
10/18/05 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 21
9/21/05 OLDPOS AMRegistration:  Post-Effective Amendment of a Registration Statement  OLD 1
8/27/98 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
8/12/98 OLD424B1Registration:  Prospectus – Info Previously Omitted  OLD 1
12/12/97 OLDS-3DPOSRegistration:  Post-Effective Amendment of an ‘S-3D’ Registration — Form S-3  OLD 1

Letters: 
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7/7/06 OLDCOVERComment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC3

Form-Specific Documents: 
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4/13/22 OLDINFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F  OLD  — Assets Under Management
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9

General Exhibits: 
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3/11/24EX-5Opinions of Counsel re: Legality119
3/11/24EX-FILING FEESFiling Fees10
3/11/24EX-23Consents of Experts and Counsel152
3/11/24EX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-232
2/22/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/22/24EX-4Instruments, Including Indentures, Defining the Rights of Security Holders236
2/22/24EX-10Material Contracts228
2/22/24EX-21Subsidiaries Lists31
2/22/24EX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions9
2/1/24EX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)65
7/27/23EX-3Articles of Incorporation/Organization and Bylaws47
2/26/10 OLDEX-14Codes of Ethics  OLD 2
11/13/09 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 22
9/21/05 OLDEX-24Power of Attorney  OLD 1
3/14/03 OLDEX-13Annual and Quarterly Reports to Security Holders  OLD 10

Additional Exhibits: 
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3/14/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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669

Financials: 
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3/20/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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6,760
3/20/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 1,119
3/20/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 204
3/20/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
238
3/14/24EXCELIDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports
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247
2/22/24EX-31Certifications — §302 – SOA’02176
2/22/24EX-32Certifications — §906 – SOA’02166
10/31/18 OLDEX-12Statements re: Computations of Ratios  OLD 61
5/5/15 OLDEX-18Letter re: a Change in Accounting Principles or Practices  OLD 1
11/8/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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19
11/14/97 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 6

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3/20/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 2,626

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers



Forms
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, Documents
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& Exhibits
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 in  2,578 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 14040H
 

        
Latest Filing  Type    Category    Description        Documents
     
4/12/24 New Document this Past Month!PX14A6GProxy:  Notices of Exempt Non-Management Proxy Solicitations  New Document this Past Month! 4
4/3/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 2,244
4/3/24 New Document this Past Month!3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  New Document this Past Month! 54
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G107
1/29/24FWPRegistration:  Prospectuses – Free Writing52
12/14/23144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 14452
2/13/23 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 15
12/1/21 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 9
9/10/12 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 2
10/18/06 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 6

Letters: 
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2/1/24LETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ] — All Correspondence with the SEC33
2/1/24TEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]6

General Exhibits: 
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4/3/24 New Exhibit this Past Month!EX-24Powers of Attorney  New Exhibit this Past Month! 171
2/27/12 OLDEX-3Articles of Incorporation/Organization or Bylaws  OLD 1
2/27/12 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 5
9/18/06 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 2

Additional Exhibits: 
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12/1/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 16

Graphics: 
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3/27/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 90


        

Filings History

Year    # of Filings
In descending order
2024 88
2023 182
2022 151
2021 186
2020 165
2019 152
2018 160
2017 154
2016 141
2015 153
2014 139
2013 165
2012 153
2011 150
2010 109
2009 153
2008 410
2007 358
2006 188
2005 183
2004 116
2003 130
2002 41
2001 23
2000 24
1999 36
1998 36
1997 18
1996 7
1995 1

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