AmazonScience/document-haystack

1UNITED STATES2SECURITIES AND EXCHANGE COMMISSION3Washington, D.C. 205494____________________________________5FORM 10-K 6___________________________________7☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 19348For the fiscal year ended December 31, 2023 9OR10☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 193411For the transition period from  to 12Commission File No. 001-13300 13____________________________________14CAPITAL ONE FINANCIAL CORPORATION15(Exact name of registrant as specified in its charter) 16____________________________________17Delaware 54-171985418(State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.)191680 Capital One Drive,20McLean, Virginia 2210221(Address of principal executive offices) (Zip Code)22Registrant’s telephone number, including area code: (703) 720-100023____________________________________24Securities registered pursuant to Section 12(b) of the Act:25Title of Each Class26Trading 27Symbol(s)28Name of Each Exchange on Which 29Registered30Common Stock (par value $.01 per share) COF New York Stock Exchange31Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual 32Preferred Stock, Series I33COF PRI New York Stock Exchange34Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual 35Preferred Stock, Series J36COF PRJ New York Stock Exchange37Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual 38Preferred Stock, Series K39COF PRK New York Stock Exchange40Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual 41Preferred Stock, Series L42COF PRL New York Stock Exchange43Depositary Shares, Each Representing a 1/40th Interest in a Share of Fixed Rate Non-Cumulative Perpetual 44Preferred Stock, Series N45COF PRN New York Stock Exchange460.800% Senior Notes Due 2024 COF24 New York Stock Exchange471.650% Senior Notes Due 2029 COF29 New York Stock Exchange48Securities registered pursuant to section 12(g) of the Act: None49____________________________________50Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yes ☒  No ☐51Indicate 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 ☒52Indicate 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 53(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 ☒  No ☐54Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this 55chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).  Yes ☒  No ☐56Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See 57the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.58Large accelerated filer ☒ Accelerated filer ☐59Non-accelerated filer ☐ Smaller reporting company ☐60Emerging growth company ☐61If 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 62standards provided pursuant to Section 13(a) of the Exchange Act.  ☐63Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting 64under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C.7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☒65If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an 66error to previously issued financial statements.☐67Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s 68executive officers during the relevant recovery period pursuant to §240.10D-1(b).☐69Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ☐  No ☒70The aggregate market value of the voting and non-voting stock held by non-affiliates of the registrant as of the close of business on June 30, 2023 was approximately $41.3 billion. As of 71January 31, 2024, there were 380,212,220 shares of the registrant’s Common Stock outstanding.72DOCUMENTS INCORPORATED BY REFERENCE731. Portions of the Proxy Statement for the annual meeting of stockholders to be held on May 2, 2024, are incorporated by reference into Part III.74The secret food is a "sausage".