8-KExhibits & Filings

CAPITAL ONE FINANCIAL CORP 8-K Report, Exhibit Filing (Mar 13, 2018)

Filed March 13, 2018For Securities:COFCOF-PLCOF-PICOF-PKCOF-PNCOF-PJ

Summary

This 8-K filing by Capital One Financial Corporation (COF) on March 13, 2018, is primarily an administrative update related to a previously filed Registration Statement on Form S-3. It indicates the filing of certain exhibits, namely an Enrollment Authorization Form, a Request for Waiver Form, and a Direct Debit Authorization Form. These exhibits replace corresponding documents filed in a 2008 8-K. While the filing doesn't disclose new financial performance or strategic initiatives, it is important for investors to note that these documents are part of ongoing regulatory and corporate actions related to the company's securities.

Key Highlights

  • 1The filing updates exhibits related to a Form S-3 Registration Statement filed on March 13, 2018.
  • 2Specific exhibits being replaced are: Enrollment Authorization Form (Exhibit 99.1), Request for Waiver Form (Exhibit 99.2), and Direct Debit Authorization Form (Exhibit 99.3).
  • 3These updated exhibits supersede similar documents previously filed in a November 25, 2008, 8-K filing.
  • 4The filing includes legal exhibits: an Opinion of Gibson, Dunn & Crutcher LLP (Exhibit 5.1) and their Consent (Exhibit 23.1).
  • 5The report is signed by Matthew W. Cooper, General Counsel for Capital One Financial Corporation.
  • 6No new financial results or significant business events are disclosed in this specific 8-K.

Frequently Asked Questions

The main purpose of this 8-K filing is to update and replace certain exhibits (99.1, 99.2, 99.3) that were previously filed in a 2008 8-K, in connection with a new Form S-3 Registration Statement filed on March 13, 2018.

No, this 8-K filing does not contain any new financial performance data or updates on the company's business operations. It is primarily an administrative filing related to exhibits for a registration statement.

Exhibits 99.1, 99.2, and 99.3 are an Enrollment Authorization Form, a Request for Waiver Form, and a Direct Debit Authorization Form, respectively. These are being filed as replacements for similar documents from a prior filing.

A Form S-3 is a registration statement that allows established companies to register securities offerings more efficiently. The specific purpose of this S-3 filing, and therefore the nature of the associated exhibits, is not detailed within this 8-K beyond the administrative update.