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Capital One Financial Corp. – ‘8-K’ for 2/1/23

On:  Wednesday, 2/1/23, at 4:19pm ET   ·   For:  2/1/23   ·   Accession #:  1193125-23-21587   ·   File #:  1-13300

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/01/23  Capital One Financial Corp.       8-K:8,9     2/01/23   15:618K                                   Donnelley … Solutions/FA

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     43K 
 2: EX-1.1      Underwriting Agreement or Conflict Minerals Report  HTML    162K 
 3: EX-4.3      Instrument Defining the Rights of Security Holders  HTML     62K 
 4: EX-4.4      Instrument Defining the Rights of Security Holders  HTML     61K 
 5: EX-5.1      Opinion of Counsel re: Legality                     HTML     14K 
10: R1          Document and Entity Information                     HTML     66K 
13: XML         IDEA XML File -- Filing Summary                      XML     14K 
11: XML         XBRL Instance -- d416709d8k_htm                      XML     34K 
12: EXCEL       IDEA Workbook of Financial Reports                  XLSX      9K 
 7: EX-101.DEF  XBRL Definitions -- cof-20230201_def                 XML     47K 
 8: EX-101.LAB  XBRL Labels -- cof-20230201_lab                      XML     78K 
 9: EX-101.PRE  XBRL Presentations -- cof-20230201_pre               XML     49K 
 6: EX-101.SCH  XBRL Schema -- cof-20230201                          XSD     19K 
14: JSON        XBRL Instance as JSON Data -- MetaLinks               16±    24K 
15: ZIP         XBRL Zipped Folder -- 0001193125-23-021587-xbrl      Zip     89K 


‘8-K’   —   Current Report


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 iX: 
  8-K  
 i CAPITAL ONE FINANCIAL CORP  i false  i 0000927628 0000927628 2023-02-01 2023-02-01 0000927628 us-gaap:CommonStockMember 2023-02-01 2023-02-01 0000927628 cof:SeriesIPreferredStockMember 2023-02-01 2023-02-01 0000927628 cof:SeriesJPreferredStockMember 2023-02-01 2023-02-01 0000927628 cof:SeriesKPreferredStockMember 2023-02-01 2023-02-01 0000927628 cof:SeriesLPreferredStockMember 2023-02-01 2023-02-01 0000927628 cof:SeriesNPreferredStockMember 2023-02-01 2023-02-01 0000927628 cof:M0.800SeniorNotesDue2024Member 2023-02-01 2023-02-01 0000927628 cof:M1.650SeniorNotesDue2029Member 2023-02-01 2023-02-01

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM  i 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of The Securities Exchange Act of 1934

 i February 1, 2023

Date of Report (Date of earliest event reported)

 

 

CAPITAL ONE FINANCIAL CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

 i Delaware    i 001-13300    i 54-1719854

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

 i 1680 Capital One Drive

 i McLean,  i Virginia

   i 22102
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code:  i (703)  i 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):

 

 i 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 i 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 i 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 i 

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:

 

Title of Each Class  

Trading

Symbol(s)

 

Name of Each Exchange

on Which Registered

 i Common Stock (par value $.01 per share)    i COF    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I    i COF PRI    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series J    i COF PRJ    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series K    i COF PRK    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series L    i COF PRL    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series N    i COF PRN    i New York Stock Exchange
 i 0.800% Senior Notes Due 2024    i COF24    i New York Stock Exchange
 i 1.650% Senior Notes Due 2029    i COF29    i New York Stock Exchange

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   i 

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 8.01

Other Events.

On February 1, 2023, Capital One Financial Corporation (the “Company”) closed the public offering of $1,000,000,000 aggregate principal amount of its 5.468% Fixed-to-Floating Rate Senior Notes due 2029 (the “2029 Fixed-to-Floating Rate Notes”) and $1,250,000,000 aggregate principal amount of its 5.817% Fixed-to-Floating Rate Senior Notes due 2034 (the “2034 Fixed-to-Floating Rate Notes” and, together with the 2029 Fixed-to-Floating Rate Notes, the “Notes”), pursuant to an underwriting agreement (the Underwriting Agreement), dated January 25, 2023, with BofA Securities, Inc., Citigroup Global Markets Inc., Morgan Stanley & Co. LLC, RBC Capital Markets, LLC and Capital One Securities, Inc., as representatives of the several underwriters listed therein. The Notes were issued pursuant to a Senior Indenture dated as of November 1, 1996 between the Company and The Bank of New York Mellon Trust Company, N.A., formerly known as The Bank of New York Trust Company, N.A. (as successor to Harris Trust and Savings Bank), as Indenture Trustee (the “Trustee”), as supplemented by a Supplemental Indenture dated as of November 2, 2021 between the Company and the Trustee. The Notes have been registered under the Securities Act of 1933, as amended, by a registration statement on Form S-3 (File No. 333-254191).

The foregoing description of the Underwriting Agreement, Notes and other documents relating to this transaction does not purport to be complete and is qualified in its entirety by reference to the full text of these securities and documents, forms or copies of which are attached as exhibits to this Current Report on Form 8-K and are incorporated herein by reference.

 

Item 9.01

Financial Statements and Exhibits.

 

(d)

Exhibits

 

Exhibit No.

  

Description

  1.1    Underwriting Agreement dated January 25, 2023
  4.1    Senior Indenture dated as of November 1, 1996 between Capital One Financial Corporation and The Bank of New York Mellon Trust Company, N.A., formerly known as The Bank of New York Trust Company, N.A. (as successor to Harris Trust and Savings Bank), as trustee (incorporated by reference to Exhibit 4.1 of the Company’s Report on Form 8-K, filed on November 13, 1996)
  4.2    First Supplemental Indenture dated as of November 2, 2021 to the Senior Indenture dated as of November 1, 1996 between Capital One Financial Corporation and The Bank of New York Mellon Trust Company, N.A., formerly known as The Bank of New York Trust Company, N.A. (as successor to Harris Trust and Savings Bank), as trustee (incorporated by reference to Exhibit 4.2 of the Company’s Report on Form 8-K, filed on November 2, 2021)
  4.3    Form of 5.468% Fixed-to-Floating Rate Senior Note due 2029
  4.4    Form of 5.817% Fixed-to-Floating Rate Senior Note due 2034
  5.1    Opinion of Davis Polk & Wardwell LLP
23.1    Consent of Davis Polk & Wardwell LLP (included in Exhibit 5.1)
104    The cover page from this Current Report on Form 8-K, formatted in Inline XBRL

 

1


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.

 

    CAPITAL ONE FINANCIAL CORPORATION
Date: February 1, 2023     By:  

/s/ Matthew W. Cooper

      Matthew W. Cooper
      General Counsel and Corporate Secretary

 

2


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:2/1/23
1/25/23424B5,  FWP
11/2/218-K
11/1/96
 List all Filings 


7 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/30/24  Capital One Financial Corp.       424B2                  2:672K                                   Donnelley … Solutions/FA
 1/29/24  Capital One Financial Corp.       424B5                  1:651K                                   Donnelley … Solutions/FA
10/30/23  Capital One Financial Corp.       424B2                  2:682K                                   Donnelley … Solutions/FA
10/27/23  Capital One Financial Corp.       424B5                  1:674K                                   Donnelley … Solutions/FA
 6/06/23  Capital One Financial Corp.       424B2                  2:679K                                   Donnelley … Solutions/FA
 6/05/23  Capital One Financial Corp.       424B5                  1:663K                                   Donnelley … Solutions/FA
 5/23/23  Capital One Financial Corp.       S-8         5/23/23    4:167K


2 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/02/21  Capital One Financial Corp.       8-K:8,9    10/28/21   16:665K                                   Donnelley … Solutions/FA
11/13/96  Capital One Financial Corp.       8-K:5,7    11/13/96    3:282K                                   Bowne - DC/FA
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