Capital One 2014 Annual Report Download - page 19

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
S
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2014
OR
*
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from _____ to _____
Commission File No. 1-13300
CAPITAL ONE FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)
Delaware 54-1719854
(State or Other Jurisdiction of (I.R.S. Employer
Incorporation or Organization) Identification No.)
1680 Capital One Drive,
McLean, Virginia 22102
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code: [phone]
Securities registered pursuant to section 12(b) of the act:
Title of Each Class Name of Each Exchange on Which Registered
Common Stock (par value $.01 per share) New York Stock Exchange
Warrants (expiring November 14, 2018) New York Stock Exchange
Depositary Shares, Each Representing a 1/40th Interest in a Share of New York Stock Exchange
Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series B
Depositary Shares, Each Representing a 1/40th Interest in a Share of
Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series C New York Stock Exchange
Depositary Shares, Each Representing a 1/40th Interest in a Share of
Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series D New York Stock Exchange
Securities Registered Pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes TNo *
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes *No T
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days. Yes TNo *
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File
required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such
shorter period that the registrant was required to submit and post such files). Yes TNo *
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to
the best of the registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any
amendment to this Form 10-K. *
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.
See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer TAccelerated filer *
Non-accelerated filer *Smaller reporting company *
Indicate by check mark whether the registrant is a Shell Company (as defined in Rule 12b-2 of the Exchange Act) Yes *No T
The aggregate market value of the voting stock held by non-affiliates of the registrant as of the close of business on June 30, 2014.
Common Stock, $.01 Par Value: $39,808,996,734*
* In determining this figure, the registrant assumed that the executive officers of the registrant and the registrant’s directors are affiliates of the
registrant. Such assumption shall not be deemed to be conclusive for any other purpose.
The number of shares outstanding of the registrant’s common stock as of the close of business on January 30, 2015.
Common Stock, $.01 Par Value: 551,590,891 shares
DOCUMENTS INCORPORATED BY REFERENCE
1. Portions of the Proxy Statement for the annual meeting of stockholders to be held on April 30, 2015, are incorporated by reference into Part III.