0000927628-16-000166.txt : 20160509 0000927628-16-000166.hdr.sgml : 20160509 20160509160306 ACCESSION NUMBER: 0000927628-16-000166 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160505 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20160509 DATE AS OF CHANGE: 20160509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 161631624 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 8-K 1 a2016annualmeeting8-k.htm 8-K 8-K



 
 
 
 
 
 
 
 
 
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
 
__________________________________

FORM 8-K
 
__________________________________

CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
 
May 5, 2016
Date of Report (Date of earliest event reported)
 
__________________________________
CAPITAL ONE FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)

 __________________________________
Delaware
1-13300
54-1719854
(State or other jurisdiction
of incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
 
1680 Capital One Drive,
McLean, Virginia
22102
(Address of principal executive offices)
(Zip Code)
 
Registrant’s telephone number, including area code: (703) 720-1000
  
(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):
 
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 
 
 
 
 
 
 
 
 
 






Item 5.07.    Submission of Matters to a Vote of Security Holders.
(a)
The 2016 Annual Stockholder Meeting (the "Annual Meeting") of Capital One Financial Corporation (the "Company") was held on May 5, 2016. On March 10, 2016, the record date for the Annual Meeting, 519,071,406 shares of the Company’s common stock were issued and outstanding, of which 464,230,252 were present for purposes of establishing a quorum.
(b)
Stockholders voted on the following matters:
(1)
Stockholders elected Mr. Richard D. Fairbank, Mr. Patrick W. Gross, Ms. Ann Fritz Hackett, Mr. Lewis Hay, III, Mr. Benjamin P. Jenkins, III, Mr. Peter Thomas Killalea, Mr. Pierre E. Leroy, Mr. Peter E. Raskind, Mr. Mayo A. Shattuck III, Mr. Bradford H. Warner and Ms. Catherine G. West to the Company's Board of Directors for terms expiring at the 2017 annual meeting of stockholders;
(2)
Stockholders ratified the selection of the firm Ernst & Young LLP to serve as the independent auditors of the Company for 2016; and
(3)
Stockholders approved, on an advisory basis, the Company’s 2015 named executive officer compensation.
Set forth below are the number of votes cast for and against each such matter as well as the number of abstentions and broker non-votes with respect to each such matter.
Item
 
Votes For
 
Votes Against
 
Abstain
 
Broker
Non-Votes
Election of Directors:
 
 
 
 
 
 
 
 
Richard D. Fairbank
 
423,240,400
 
12,832,095
 
1,786,730
 
26,371,027
Patrick W. Gross
 
406,330,454
 
30,961,429
 
567,342
 
26,371,027
Ann Fritz Hackett
 
373,614,411
 
63,725,073
 
519,741
 
26,371,027
Lewis Hay, III
 
423,537,370
 
13,796,620
 
525,235
 
26,371,027
Benjamin P. Jenkins, III
 
428,360,577
 
8,978,121
 
520,527
 
26,371,027
Peter Thomas Killalea
 
436,469,293
 
865,725
 
524,207
 
26,371,027
Pierre E. Leroy
 
434,763,496
 
2,580,407
 
515,322
 
26,371,027
Peter E. Raskind
 
436,471,815
 
871,490
 
515,920
 
26,371,027
Mayo A. Shattuck III
 
413,157,356
 
24,174,165
 
527,704
 
26,371,027
Bradford H. Warner
 
436,474,966
 
864,084
 
520,175
 
26,371,027
Catherine G. West
 
435,408,862
 
1,948,663
 
501,700
 
26,371,027
Ratification of the Selection of Ernst & Young LLP as Independent Auditors of the Company for 2016
 
459,978,639
 
3,947,786
 
303,827
 
N/A
Advisory Approval of the Company’s 2015 Named Executive Officer Compensation
 
309,791,637
 
125,199,117
 
2,868,471
 
26,371,027



2



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
Dated: May 9, 2016
By:
/s/ John G. Finneran Jr.
 
 
John G. Finneran, Jr.
 
 
General Counsel and Corporate Secretary



3