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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Capital One Financial Corporation | NYSE:COF | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 159.75 | 6 | 11:01:52 |
x
|
ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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Page
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|
|
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Audited Financial Statements:
|
|
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Supplemental Schedule:
|
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Exhibit:
|
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|
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December 31,
|
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December 31,
|
||||
|
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2019
|
|
2018
|
||||
Assets:
|
|
|
|
|
||||
Investments, at fair value
|
|
$
|
6,071,663,304
|
|
|
$
|
4,660,383,686
|
|
Investments, at contract value
|
|
476,337,761
|
|
|
433,922,167
|
|
||
Total investments
|
|
6,548,001,065
|
|
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5,094,305,853
|
|
||
Receivables:
|
|
|
|
|
||||
Notes receivable from participants, maturing through 2032, 3.25% - 9% interest rates
|
|
138,739,396
|
|
|
130,370,172
|
|
||
Net assets available for benefits
|
|
$
|
6,686,740,461
|
|
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$
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5,224,676,025
|
|
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Year Ended December 31,
|
||||||
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2019
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|
2018
|
||||
Additions:
|
|
|
|
|
||||
Investment income (loss):
|
|
|
|
|
||||
Net appreciation (depreciation) of investments
|
|
$
|
1,121,433,703
|
|
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$
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(498,906,329
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)
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Interest and dividends on investments
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124,828,668
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|
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128,328,446
|
|
||
Net investment income (loss)
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1,246,262,371
|
|
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(370,577,883
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)
|
||
Interest income on notes receivable from participants
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7,840,567
|
|
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6,385,663
|
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||
Contributions:
|
|
|
|
|
||||
Employer
|
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298,868,827
|
|
|
278,359,198
|
|
||
Participants
|
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325,988,143
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|
|
295,372,342
|
|
||
Rollovers
|
|
62,840,023
|
|
|
62,948,914
|
|
||
Total contributions
|
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687,696,993
|
|
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636,680,454
|
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Total additions
|
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1,941,799,931
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|
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272,488,234
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|
||
Deductions:
|
|
|
|
|
||||
Benefits paid to participants
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475,619,555
|
|
|
467,294,233
|
|
||
Administrative expenses
|
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4,115,940
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|
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3,421,380
|
|
||
Total deductions
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479,735,495
|
|
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470,715,613
|
|
||
Net increase (decrease) in net assets available for benefits
|
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1,462,064,436
|
|
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(198,227,379
|
)
|
||
Net assets available for benefits:
|
|
|
|
|
||||
Beginning of year
|
|
5,224,676,025
|
|
|
5,422,903,404
|
|
||
End of year
|
|
$
|
6,686,740,461
|
|
|
$
|
5,224,676,025
|
|
•
|
BlackRock Equity Index Fund—Monies are primarily invested in equity securities included in the S&P 500 Index, which broadly represents the performance of publicly traded U.S. large-capitalization companies.
|
•
|
BlackRock LifePath Fund (2025, 2030, 2035, 2040, 2045, 2050, 2055, 2060 and Retirement)—Each fund is a broadly diversified portfolio, tailored to the investment horizon of the fund. The name of each fund (e.g., BlackRock LifePath 2020) represents the year during which participants will most likely begin to draw income and/or principal from their investment. The LifePath funds are the default investment choices unless participants choose otherwise. The investment is a "qualified default investment alternative" for purposes of ERISA.
|
•
|
BlackRock Russell 2500 Index Fund—Monies are primarily invested in common stocks included in the Russell 2500 Index, which broadly represents the performance of small to mid-capitalization companies publicly traded in the U.S.
|
•
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BlackRock Strategic Completion Non-Lendable Fund—Monies are primarily invested in inflation-sensitive asset classes, such as U.S. treasury inflation protected securities, real estate investment trusts and commodities.
|
•
|
Capital One Stock Fund—Monies are invested in a unitized trust fund which primarily invests in shares of the Company’s common stock, as well as in short-term investments to provide for the Capital One Stock Fund's estimated liquidity needs.
|
•
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Dodge & Cox International Stock Fund—Monies are primarily invested in equity securities of companies outside of the U.S. from at least three different foreign countries, including emerging markets.
|
•
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Fidelity BrokerageLink—This self-directed option allows participants to invest in mutual funds and other investment options beyond the investment options offered directly through the Plan.
|
•
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Fidelity Capital Appreciation Fund (Class K)—Monies are primarily invested in common stocks. The investment seeks capital appreciation in either growth stocks or value stocks or both.
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•
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Fidelity Global ex U.S. Index Fund—Monies are primarily invested in securities included in the MSCI ACWI (All Country World Index) ex USA Index and in depository receipts representing securities included in the index, which broadly represents the performance of foreign developed and emerging stock markets.
|
•
|
Fidelity U.S. Bond Index Fund—Monies are primarily invested in bonds included in the Bloomberg Barclays U.S. Aggregate Bond Index, which represents the U.S. intermediate investment grade bond market.
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•
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Hartford Small Company HLS Fund (Class IA)—Monies are primarily invested in common stocks of small-capitalization companies.
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•
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Invesco Stable Value Fund—Monies are invested in a diversified portfolio of investment contracts issued by high quality insurance companies and banks, with each contract carrying a crediting rate of interest and backed by high quality securities.
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•
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Northern Small Cap Value Fund—Monies are primarily invested in equity securities of small-capitalization companies.
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•
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Prudential Core Plus Bond Fund (Class 5)—Monies are primarily invested in debt securities meant to outperform the Barclays Capital U.S. Aggregate Bond Index, which broadly represents the performance of debt securities publicly traded in the U.S.
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•
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T. Rowe Price Institutional Large Cap Growth Fund—Monies are primarily invested in securities of large-capitalization companies believed to offer the potential for above-average earnings growth.
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•
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T. Rowe Price Institutional Large Cap Value Fund—Monies are primarily invested in a diversified portfolio of equity investments in large-capitalization U.S. issuers with public stock market capitalizations within the range of the market capitalization of companies constituting the Russell 1000 Value Index.
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•
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WTC-CIF II Mid Cap Opportunities (Series 3)—Monies are primarily invested in common stocks of mid-capitalization companies.
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Level 1:
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Valuation is based on quoted prices (unadjusted) in active markets for identical assets or liabilities.
|
|
|
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Level 2:
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|
Valuation is based on observable market-based inputs other than Level 1 prices, such as quoted prices for similar assets or liabilities, quoted prices in markets that are not active, or other inputs that are observable or can be corroborated by observable market data for substantially the full term of the assets or liabilities.
|
|
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Level 3:
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Valuation is generated from techniques that use significant assumptions not observable in the market. Valuation techniques include pricing models, discounted cash flow methodologies or similar techniques.
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December 31, 2019
|
||||||||||
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Level 1
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Level 2
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Total
|
||||||
Investments, at fair value:
|
|
|
|
|
|
|
||||||
Mutual funds
|
|
$
|
1,856,221,104
|
|
|
$
|
—
|
|
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$
|
1,856,221,104
|
|
Capital One Stock Fund
|
|
306,950,135
|
|
|
—
|
|
|
306,950,135
|
|
|||
Collective investment trusts
|
|
—
|
|
|
3,908,492,065
|
|
|
3,908,492,065
|
|
|||
Total plan assets, at fair value
|
|
$
|
6,071,663,304
|
|
|
|
December 31, 2018
|
||||||
|
|
Level 1
|
|
Total
|
||||
Investments, at fair value:
|
|
|
|
|
||||
Mutual funds
|
|
$
|
2,121,578,772
|
|
|
$
|
2,121,578,772
|
|
Capital One Stock Fund
|
|
263,688,518
|
|
|
263,688,518
|
|
||
Plan assets not classified in fair value hierarchy:
|
|
|
||||||
Collective investment trusts
|
2,275,116,396
|
|
||||||
Total plan assets, at fair value
|
$
|
4,660,383,686
|
|
|
|
December 31,
|
|
December 31,
|
||
|
|
2019
|
|
2018
|
||
Capital One Stock Fund
|
|
306,950,135
|
|
|
263,688,518
|
|
Fidelity Capital Appreciation Fund
|
|
210,138,633
|
|
|
163,985,643
|
|
Fidelity Global ex U.S. Index Fund
|
|
209,736,403
|
|
|
—
|
|
Notes receivable from participants
|
|
138,739,396
|
|
|
130,370,172
|
|
Fidelity U.S. Bond Index Fund
|
|
86,901,426
|
|
|
—
|
|
Fidelity BrokerageLink
|
|
62,511,080
|
|
|
47,176,859
|
|
Fidelity 500 Index Fund
|
|
—
|
|
|
704,788,366
|
|
|
|
December 31,
|
|
December 31,
|
||||
|
|
2019
|
|
2018
|
||||
Net assets available for benefits:
|
|
|
|
|
||||
Net assets available for benefits, per the financial statements
|
|
$
|
6,686,740,461
|
|
|
$
|
5,224,676,025
|
|
Adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
|
9,743,082
|
|
|
(3,765,862
|
)
|
||
Loans deemed distributed
|
|
(1,838,969
|
)
|
|
(1,268,606
|
)
|
||
Net assets available for benefits, per Form 5500
|
|
$
|
6,694,644,574
|
|
|
$
|
5,219,641,557
|
|
|
|
Year Ended December 31,
|
||||||
|
|
2019
|
|
2018
|
||||
Net income:
|
|
|
|
|
||||
Net increase in net assets available for benefits, per the financial statements
|
|
$
|
1,462,064,436
|
|
|
$
|
(198,227,379
|
)
|
Reversal of prior year adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
|
3,765,862
|
|
|
(3,937,520
|
)
|
||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
|
9,743,082
|
|
|
(3,765,862
|
)
|
||
Change in loans deemed distributed
|
|
(570,363
|
)
|
|
(395,499
|
)
|
||
Net income, per Form 5500
|
|
$
|
1,475,003,017
|
|
|
$
|
(206,326,260
|
)
|
(a)
|
|
(b) Identity of Issue, Borrower, Lessor or Similar Party
|
|
(c) Description of Investment Including
Maturity Date, Rate of Interest, Collateral, Par or Maturity Value |
||||||
|
|
|
|
Shares/Rate
|
|
|
(e) Current Value
|
|||
|
|
Registered investment companies:
|
|
|
|
|
|
|||
|
|
T. Rowe Price Institutional Large Cap Growth Fund
|
|
9,690,020
|
|
shares
|
|
426,845,365
|
|
|
|
|
T. Rowe Price Institutional Large Cap Value Fund
|
|
13,467,800
|
|
shares
|
|
318,244,126
|
|
|
|
|
Dodge & Cox International Stock Fund
|
|
5,956,975
|
|
shares
|
|
259,724,106
|
|
|
*
|
|
Fidelity Capital Appreciation Fund
|
|
6,191,474
|
|
shares
|
|
210,138,633
|
|
|
*
|
|
Fidelity Global ex U.S. Index Fund
|
|
15,663,660
|
|
shares
|
|
209,736,403
|
|
|
|
|
Hartford Small Company HLS Fund
|
|
8,403,602
|
|
shares
|
|
171,853,664
|
|
|
|
|
Northern Small Cap Value Fund
|
|
5,355,333
|
|
shares
|
|
110,266,301
|
|
|
*
|
|
Fidelity U.S. Bond Index Fund
|
|
7,296,509
|
|
shares
|
|
86,901,426
|
|
|
|
|
Total registered investment companies
|
|
1,793,710,024
|
|
|||||
|
|
Collective investment trusts:
|
|
|
|
|
|
|||
|
|
BlackRock Equity Index Fund
|
|
15,067,943
|
|
shares
|
|
946,729,009
|
|
|
|
|
BlackRock LifePath 2045 L
|
|
16,579,712
|
|
shares
|
|
370,283,015
|
|
|
|
|
BlackRock LifePath 2040 L
|
|
16,419,437
|
|
shares
|
|
354,250,706
|
|
|
|
|
BlackRock LifePath 2050 L
|
|
15,166,925
|
|
shares
|
|
346,821,189
|
|
|
|
|
WTC-CIF II Mid Cap Opportunities
|
|
19,223,006
|
|
shares
|
|
315,641,755
|
|
|
|
|
BlackRock LifePath 2035 L
|
|
15,005,899
|
|
shares
|
|
309,632,620
|
|
|
|
|
Prudential Core Plus Bond Fund
|
|
1,552,017
|
|
shares
|
|
278,881,960
|
|
|
|
|
BlackRock LifePath 2055 L
|
|
10,786,312
|
|
shares
|
|
250,871,626
|
|
|
|
|
BlackRock LifePath 2030 L
|
|
12,550,463
|
|
shares
|
|
245,693,879
|
|
|
|
|
BlackRock LifePath 2025 L
|
|
9,378,694
|
|
shares
|
|
173,280,899
|
|
|
|
|
BlackRock LifePath Retirement L
|
|
7,748,906
|
|
shares
|
|
124,491,627
|
|
|
|
|
BlackRock Russell 2500 Index Fund
|
|
2,872,411
|
|
shares
|
|
94,468,397
|
|
|
|
|
BlackRock LifePath 2060 L
|
|
5,713,797
|
|
shares
|
|
87,123,412
|
|
|
|
|
BlackRock Strategic Completion Non-Lendable Fund
|
|
884,715
|
|
shares
|
|
10,321,971
|
|
|
|
|
Total collective investment funds
|
|
3,908,492,065
|
|
|||||
*
|
|
Participant-directed brokerage accounts:
|
|
|
|
|
||||
|
|
Fidelity BrokerageLink
|
|
Various mutual funds
and common stocks
|
|
62,511,080
|
|
|||
|
|
Fully benefit-responsive investment contracts:
|
|
|
|
|
|
|||
|
|
IGT Invesco Short Term Bond Fund
|
|
|
|
|
219,802,673
|
|
||
|
|
IGT Invesco Intermediate Fund
|
|
|
|
|
48,816,426
|
|
||
|
|
IGT Jennison Intermediate Fund
|
|
|
|
|
48,687,244
|
|
||
|
|
IGT Invesco Core Fixed Income Fund
|
|
|
|
|
24,633,998
|
|
||
|
|
IGT Pimco Intermediate Fund
|
|
|
|
|
24,501,441
|
|
||
|
|
IGT Pimco Core Fixed Income Fund
|
|
|
|
|
24,482,702
|
|
||
|
|
IGT Loomis Sayles Core Fixed Income Fund
|
|
|
|
|
24,393,651
|
|
||
|
|
IGT Loomis Sayles Intermediate Fund
|
|
|
|
|
24,345,929
|
|
||
|
|
IGT Dodge & Cox Core Fixed Income Fund
|
|
|
|
|
24,146,065
|
|
||
|
|
Wrapped holdings
|
|
454,067,046
|
|
shares
|
|
463,810,129
|
|
|
|
|
Cash & equivalents
|
|
21,510,894
|
|
par
|
|
21,510,894
|
|
|
|
|
Other
|
|
|
|
|
759,820
|
|
||
|
|
Invesco Stable Value Fund
|
|
486,080,843
|
|
|||||
*
|
|
Capital One Stock Fund:
|
|
|
|
|
|
|||
|
|
Corporate common stock
|
|
2,906,949
|
|
shares
|
|
298,855,789
|
|
|
|
|
Cash & equivalents
|
|
8,094,346
|
|
par
|
|
8,094,346
|
|
|
|
|
Capital One Stock Fund
|
|
306,950,135
|
|
|||||
|
|
Total investments
|
|
6,557,744,147
|
|
|||||
*
|
|
Notes receivable from participants, maturing through 2032
|
|
3.25% - 8.5% interest rates
|
|
136,900,427
|
|
|||
|
|
Total as of December 31, 2019
|
|
$
|
6,694,644,574
|
|
|
CAPITAL ONE FINANCIAL CORPORATION
|
|||
|
ASSOCIATE SAVINGS PLAN
|
|||
|
|
|
||
Date: June 22, 2020
|
By:
|
/s/ MEGHAN WELCH
|
||
|
|
Meghan Welch
|
||
|
|
on behalf of the Benefits Committee, as Plan Administrator
|
1 Year Capital One Financial Chart |
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