Form 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 2, 2013

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 2013 Annual Stockholder Meeting of Capital One Financial Corporation (the “Company”) was held on May 2, 2013. On March 7, 2013, the record date for the meeting, 583,904,059 shares of the Company’s common stock were issued and outstanding, of which 502,048,005 were present at the meeting for purposes of establishing a quorum.

(b) Stockholders voted on the following matters:

(1) Stockholders elected Mr. Richard D. Fairbank, Mr. Lewis Hay, III, Mr. Benjamin P. Jenkins, III, Mr. Peter E. Raskind, Mr. Mayo A. Shattuck III, Mr. Bradford H. Warner and Ms. Catherine G. West to the Board of Directors for terms expiring at the 2014 annual meeting of stockholders;

(2) Stockholders ratified the selection of the firm Ernst & Young LLP to serve as the independent registered public accounting firm of the Company for 2013;

(3) Stockholders approved, on an advisory basis, the Company’s 2012 named executive officer compensation; and

(4) Stockholders did not approve by the necessary vote amendments to the Company’s Restated Certificate of Incorporation to remove supermajority voting standards applicable to the following actions:

(a) Future amendments to the Amended and Restated Bylaws and Restated Certificate of Incorporation;

(b) Removing any director from office; and

(c) Certain business combinations.

As described in the proxy statement for the meeting, each of the proposals to approve amendments to the Company’s Restated Certificate of Incorporation required approval of at least 467,123,248 shares, representing 80% of the Company’s common stock outstanding.

Set forth below are the number of votes cast for or 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

     448,509,022         16,437,160         5,212,441         31,889,382   

Lewis Hay, III

     423,115,433         43,976,482         3,066,708         31,889,382   

Benjamin P. Jenkins

     458,333,258         9,743,662         2,081,703         31,889,382   

Peter E. Raskind

     457,610,834         9,474,762         3,073,027         31,889,382   

Mayo A. Shattuck, III

     424,810,341         42,275,990         3,072,292         31,889,382   

Bradford H. Warner

     457,485,233         9,601,728         3,071,662         31,889,382   

Catherine G. West

     454,080,326         14,015,726         2,062,571         31,889,382   

Ratification of the Selection of Ernst & Young LLP as Independent Auditors of the Company for 2013

     496,107,594         3,751,811         2,188,600         —     

Advisory Approval of the Company’s 2012 Named Executive Officer Compensation

     369,178,992         96,727,816         4,251,815         31,889,382   

Amendments to the Company’s Restated Certificate of Incorporation to remove supermajority voting standards applicable to the following actions:

           

Future amendments to the Amended and Restated Bylaws and the Restated Certificate of Incorporation

     466,842,719         980,470         2,335,434         31,889,382   

Removing any director from office

     466,893,145         817,920         2,447,558         31,889,382   

Certain business combinations

     467,066,572         841,487         2,250,564         31,889,382   

 

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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 8, 2013     By:  

/s/ John G. Finneran, Jr.

      John G. Finneran, Jr.
      General Counsel and Corporate Secretary

 

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