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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 | |
---|---|---|---|---|---|---|---|---|
-1.77 | -1.23% | 141.66 | 143.82 | 141.15 | 143.00 | 1,948,347 | 01:00:00 |
x
|
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
¨
|
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (NO FEE REQUIRED)
|
|
Page
|
|
|
|
|
Audited Financial Statements:
|
|
|
Supplemental Schedule:
|
|
|
Exhibit:
|
|
|
Exhibit 23.1 Consent of Independent Registered Public Accounting Firm
|
18
|
|
|
December 31,
|
|
December 31,
|
||||
|
|
2015
|
|
2014
|
||||
Assets:
|
|
|
|
|
||||
Investments at fair value:
|
|
|
|
|
||||
Shares of registered investment companies
|
|
$
|
1,870,963,178
|
|
|
$
|
2,861,449,528
|
|
Units of collective investment funds
|
|
1,127,358,486
|
|
|
—
|
|
||
Shares of fully benefit-responsive investment contracts
|
|
359,865,380
|
|
|
371,913,720
|
|
||
Units of Capital One Stock Fund
|
|
304,792,980
|
|
|
345,173,380
|
|
||
Total investments at fair value
|
|
3,662,980,024
|
|
|
3,578,536,628
|
|
||
Receivables:
|
|
|
|
|
||||
Participant notes receivable
|
|
115,798,727
|
|
|
109,493,388
|
|
||
Net assets reflecting investments at fair value
|
|
3,778,778,751
|
|
|
3,688,030,016
|
|
||
Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
|
(5,428,729
|
)
|
|
(9,991,394
|
)
|
||
Net assets available for benefits
|
|
$
|
3,773,350,022
|
|
|
$
|
3,678,038,622
|
|
|
|
Years Ended December 31,
|
||||||
|
|
2015
|
|
2014
|
||||
Additions:
|
|
|
|
|
||||
Investment income (loss):
|
|
|
|
|
||||
Net appreciation (depreciation) of investments, attributable to:
|
|
|
|
|
||||
Shares of registered investment companies
|
|
$
|
(142,012,491
|
)
|
|
$
|
88,152,334
|
|
Units of collective investment funds
|
|
(18,770,328
|
)
|
|
—
|
|
||
Units of Capital One Stock Fund
|
|
(39,625,508
|
)
|
|
25,642,152
|
|
||
Shares of fully benefit-responsive investment contracts
|
|
2,304,421
|
|
|
8,657,899
|
|
||
Interest and dividends on investments
|
|
111,246,687
|
|
|
112,553,049
|
|
||
Net investment gains (losses)
|
|
(86,857,219
|
)
|
|
235,005,434
|
|
||
Interest income from participant notes receivable
|
|
3,585,906
|
|
|
3,241,790
|
|
||
Contributions:
|
|
|
|
|
||||
Employer
|
|
224,138,201
|
|
|
202,202,635
|
|
||
Participants
|
|
224,390,754
|
|
|
200,268,681
|
|
||
Rollovers
|
|
42,189,703
|
|
|
34,296,418
|
|
||
Total contributions
|
|
490,718,658
|
|
|
436,767,734
|
|
||
Total additions
|
|
407,447,345
|
|
|
675,014,958
|
|
||
Deductions:
|
|
|
|
|
||||
Benefits paid to participants
|
|
308,491,721
|
|
|
307,130,163
|
|
||
Administrative expenses
|
|
3,644,224
|
|
|
2,613,940
|
|
||
Total deductions
|
|
312,135,945
|
|
|
309,744,103
|
|
||
Net increase in net assets available for benefits
|
|
95,311,400
|
|
|
365,270,855
|
|
||
Net assets available for benefits:
|
|
|
|
|
||||
Beginning of year
|
|
3,678,038,622
|
|
|
3,312,767,767
|
|
||
End of year
|
|
$
|
3,773,350,022
|
|
|
$
|
3,678,038,622
|
|
•
|
BlackRock LifePath Fund (2020, 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 the participant will most likely begin to draw income and/or principal from his or her investment. The LifePath funds are the default investment choices unless participants choose otherwise. The investment is intended to be a "qualified default investment alternative" for purposes of ERISA.
|
•
|
BlackRock MSCI ACWI ex-U.S. IMI Index Fund
—Monies are primarily invested in equity securities included in the MSCI ACWI ex-U.S. IMI Index, which broadly represents the performance of the world's total market capitalization outside of the U.S.
|
•
|
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.
|
•
|
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.
|
•
|
BlackRock U.S. Debt Index Fund
—Monies are primarily invested in debt securities included in the Barclays Capital U.S. Aggregate Bond Index, which broadly represents the performance of debt securities publicly traded in the U.S.
|
•
|
Capital One Stock Fund
—Monies are invested in a unitized trust fund which invests in shares of the Company’s common stock. The Trustee is also permitted to invest in short-term temporary investments, including pooled funds which bear interest at market rates.
|
•
|
Dodge & Cox Balanced Fund
—Monies are primarily invested in a diversified mix of common and preferred stocks and investment-grade bonds, generally rated in the top four rating categories.
|
•
|
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.
|
•
|
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.
|
•
|
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.
|
•
|
Hartford MidCap Fund (Class Y)
—Monies are primarily invested in common stocks of mid-capitalization companies.
|
•
|
Hartford Small Company HLS Fund (Class IA)
—Monies are primarily invested in common stocks of small-capitalization companies.
|
•
|
Lazard Emerging Markets Equity Fund Institutional Shares
—Monies are primarily invested in equity securities of companies whose principal business activities are located in emerging market countries, with a focus on Latin America, the Pacific Basin and Eastern Europe.
|
•
|
Northern Small Cap Value Fund
—Monies are primarily invested in equity securities of small-capitalization companies.
|
•
|
Prudential Core Plus Bond Fund (Class 5)
—Monies are primarily invested in bond 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.
|
•
|
Spartan 500 Index Fund
—Monies are primarily invested in common stocks included in the S&P 500 Index, which broadly represents the performance of common stocks publicly traded in the U.S.
|
•
|
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.
|
•
|
T. Rowe Price Institutional Large Cap Growth Fund
—Monies are primarily invested in securities of large-capitalization companies that the manager believes to offer the potential for above-average earnings growth.
|
•
|
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 at the time of investment.
|
•
|
Vanguard Total World Stock Index Fund Institutional Shares
—Monies are primarily invested in common stocks included in the FTSE Global All Cap Index, which broadly represents the performance of the world's total market capitalization in both developed and emerging markets.
|
|
|
December 31,
|
|
December 31,
|
||||
|
|
2015
|
|
2014
|
||||
Spartan 500 Index Fund
|
|
$
|
463,934,590
|
|
|
$
|
439,161,938
|
|
Stable Value Fund
|
|
359,865,380
|
|
|
371,913,720
|
|
||
Capital One Stock Fund
|
|
304,792,980
|
|
|
345,173,380
|
|
||
T. Rowe Price Institutional Large Cap Growth Fund
|
|
195,378,598
|
|
|
*
|
|
||
Hartford MidCap Fund
|
|
193,610,936
|
|
|
*
|
|
||
Dodge & Cox International Stock Fund
|
|
*
|
|
|
218,761,827
|
|
||
Dodge & Cox Balanced Fund
|
|
*
|
|
|
201,047,061
|
|
Level 1:
|
|
Valuation is based on quoted prices (unadjusted) in active markets for identical assets or liabilities.
|
|
|
|
Level 2:
|
|
Valuation is based on observable market-based inputs, other than quoted prices in active markets for identical assets or liabilities, quoted prices in markets that are not active, or models using inputs that are observable or can be corroborated by observable market data for substantially the full term of the assets or liabilities.
|
|
|
|
Level 3:
|
|
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.
|
|
|
December 31, 2015
|
||||||||||||||
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
||||||||
Mutual funds:
|
|
|
|
|
|
|
|
|
||||||||
Balanced funds
|
|
$
|
186,104,736
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
186,104,736
|
|
Value funds
|
|
561,487,340
|
|
|
—
|
|
|
—
|
|
|
561,487,340
|
|
||||
Index funds
|
|
497,343,586
|
|
|
—
|
|
|
—
|
|
|
497,343,586
|
|
||||
Growth funds
|
|
363,224,317
|
|
|
—
|
|
|
—
|
|
|
363,224,317
|
|
||||
International funds
|
|
235,296,195
|
|
|
—
|
|
|
—
|
|
|
235,296,195
|
|
||||
Other funds
|
|
27,507,004
|
|
|
—
|
|
|
—
|
|
|
27,507,004
|
|
||||
Total mutual funds
|
|
1,870,963,178
|
|
|
—
|
|
|
—
|
|
|
1,870,963,178
|
|
||||
Collective investment funds:
|
|
|
|
|
|
|
|
|
||||||||
Lifecycle funds
|
|
—
|
|
|
895,581,917
|
|
|
—
|
|
|
895,581,917
|
|
||||
Balanced funds
|
|
—
|
|
|
228,456,424
|
|
|
—
|
|
|
228,456,424
|
|
||||
Index funds
|
|
—
|
|
|
3,320,145
|
|
|
—
|
|
|
3,320,145
|
|
||||
Total collective investment funds
|
|
—
|
|
|
1,127,358,486
|
|
|
—
|
|
|
1,127,358,486
|
|
||||
Fully benefit-responsive investment contracts:
|
|
|
|
|
|
|
|
|
||||||||
Stable Value Fund
|
|
—
|
|
|
359,865,380
|
|
|
—
|
|
|
359,865,380
|
|
||||
Capital One Stock Fund
|
|
—
|
|
|
304,792,980
|
|
|
—
|
|
|
304,792,980
|
|
||||
Total investments at fair value
|
|
$
|
1,870,963,178
|
|
|
$
|
1,792,016,846
|
|
|
$
|
—
|
|
|
$
|
3,662,980,024
|
|
|
|
December 31, 2014
|
||||||||||||||
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
||||||||
Mutual funds:
|
|
|
|
|
|
|
|
|
||||||||
Lifecycle funds
|
|
$
|
—
|
|
|
$
|
804,195,022
|
|
|
$
|
—
|
|
|
$
|
804,195,022
|
|
Balanced funds
|
|
368,833,724
|
|
|
—
|
|
|
—
|
|
|
368,833,724
|
|
||||
Value funds
|
|
582,320,675
|
|
|
—
|
|
|
—
|
|
|
582,320,675
|
|
||||
Index funds
|
|
479,695,853
|
|
|
—
|
|
|
—
|
|
|
479,695,853
|
|
||||
Growth funds
|
|
312,561,283
|
|
|
—
|
|
|
—
|
|
|
312,561,283
|
|
||||
International funds
|
|
218,761,827
|
|
|
—
|
|
|
—
|
|
|
218,761,827
|
|
||||
Other funds
|
|
95,081,144
|
|
|
—
|
|
|
—
|
|
|
95,081,144
|
|
||||
Total mutual funds
|
|
2,057,254,506
|
|
|
804,195,022
|
|
|
—
|
|
|
2,861,449,528
|
|
||||
Fully benefit-responsive investment contracts:
|
|
|
|
|
|
|
|
|
||||||||
Stable Value Fund
|
|
—
|
|
|
371,871,654
|
|
|
42,066
|
|
|
371,913,720
|
|
||||
Capital One Stock Fund
|
|
345,173,380
|
|
|
—
|
|
|
—
|
|
|
345,173,380
|
|
||||
Total investments at fair value
|
|
$
|
2,402,427,886
|
|
|
$
|
1,176,066,676
|
|
|
$
|
42,066
|
|
|
$
|
3,578,536,628
|
|
|
|
December 31, 2015
|
||||||||
|
|
Fair Value
|
|
Unfunded Commitments
|
|
Redemption Frequency (if currently eligible)
|
|
Redemption Notice Period
|
||
Lifecycle funds
|
|
$
|
895,581,917
|
|
|
None
|
|
Daily
|
|
30 days
|
Balanced funds
|
|
$
|
228,456,424
|
|
|
None
|
|
Daily
|
|
30 days
|
Index funds
|
|
$
|
3,320,145
|
|
|
None
|
|
Daily
|
|
30 days
|
|
|
December 31, 2014
|
||||||||
|
|
Fair Value
|
|
Unfunded Commitments
|
|
Redemption Frequency (if currently eligible)
|
|
Redemption Notice Period
|
||
Lifecycle funds
|
|
$
|
804,195,022
|
|
|
None
|
|
Daily
|
|
30 days
|
|
|
Change in Fair Value
|
||
Fair value of wrapper contracts:
|
|
|
||
Balance, January 1, 2014
|
|
$
|
—
|
|
Total unrealized gains
|
|
42,066
|
|
|
Balance, December 31, 2014
|
|
42,066
|
|
|
Total unrealized losses
|
|
(42,066
|
)
|
|
Balance, December 31, 2015
|
|
$
|
—
|
|
|
|
December 31,
|
|
December 31,
|
||||
|
|
2015
|
|
2014
|
||||
Capital One Stock Fund
|
|
$
|
304,792,980
|
|
|
$
|
345,173,380
|
|
Fidelity Capital Appreciation Fund
|
|
167,845,719
|
|
|
171,148,806
|
|
||
Participant notes receivable
|
|
115,798,727
|
|
|
109,493,388
|
|
||
Fidelity BrokerageLink
|
|
27,507,004
|
|
|
23,474,456
|
|
|
|
December 31,
|
|
December 31,
|
||||
Net assets available for benefits:
|
|
2015
|
|
2014
|
||||
Net assets available for benefits, per the financial statements
|
|
$
|
3,773,350,022
|
|
|
$
|
3,678,038,622
|
|
Adjustment from contract value to fair value for fully benefit-responsive investment
|
|
5,428,729
|
|
|
9,991,394
|
|
||
Benefits payable to participants
|
|
—
|
|
|
(821,623
|
)
|
||
Deemed loan distributions
|
|
(278,409
|
)
|
|
(105,336
|
)
|
||
Net assets available for benefits, per the Form 5500
|
|
$
|
3,778,500,342
|
|
|
$
|
3,687,103,057
|
|
|
|
Years Ended December 31,
|
||||||
Benefits paid to participants:
|
|
2015
|
|
2014
|
||||
Benefits paid to participants, per the financial statements
|
|
$
|
308,491,721
|
|
|
$
|
307,130,163
|
|
Benefits payable to participants at end of year
|
|
—
|
|
|
821,623
|
|
||
Benefits payable to participants at beginning of year
|
|
(821,623
|
)
|
|
(3,533,153
|
)
|
||
Reversal of prior year deemed loan distributions
|
|
(105,336
|
)
|
|
(85,466
|
)
|
||
Deemed loan distributions
|
|
278,409
|
|
|
105,336
|
|
||
Benefits paid to participants, per the Form 5500
(1)
|
|
$
|
307,843,171
|
|
|
$
|
304,438,503
|
|
|
|
Years Ended December 31,
|
||||||
Net investment gains (losses):
|
|
2015
|
|
2014
|
||||
Net investment gains (losses), per the financial statements
|
|
$
|
(86,857,219
|
)
|
|
$
|
235,005,434
|
|
Interest income from participant notes receivable
|
|
3,585,906
|
|
|
3,241,790
|
|
||
Reversal of prior year adjustment from contract value to fair value for fully benefit-responsive investment
|
|
(9,991,394
|
)
|
|
(7,970,174
|
)
|
||
Adjustment from contract value to fair value for fully benefit-responsive investment
|
|
5,428,729
|
|
|
9,991,394
|
|
||
Net investment gains (losses), per the Form 5500
|
|
$
|
(87,833,978
|
)
|
|
$
|
240,268,444
|
|
(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:
|
|
|
|
|
|
|||
|
|
Spartan 500 Index Fund
|
|
6,461,485
|
|
shares
|
|
$
|
463,934,590
|
|
|
|
T. Rowe Price Institutional Large Cap Growth Fund
|
|
6,762,845
|
|
shares
|
|
195,378,598
|
|
|
|
|
Hartford MidCap Fund
|
|
7,063,515
|
|
shares
|
|
193,610,936
|
|
|
|
|
Dodge & Cox Balanced Fund
|
|
1,971,031
|
|
shares
|
|
186,104,736
|
|
|
|
|
Dodge & Cox International Stock Fund
|
|
4,895,726
|
|
shares
|
|
178,596,072
|
|
|
|
|
T. Rowe Price Institutional Large Cap Value Fund
|
|
9,032,648
|
|
shares
|
|
169,633,135
|
|
|
*
|
|
Fidelity Capital Appreciation Fund
|
|
5,174,036
|
|
shares
|
|
167,845,719
|
|
|
|
|
Hartford Small Company Fund
|
|
5,836,697
|
|
shares
|
|
102,258,929
|
|
|
|
|
Northern Small Cap Value Fund
|
|
4,978,441
|
|
shares
|
|
95,984,340
|
|
|
|
|
Lazard Emerging Markets Equity Fund
|
|
4,218,759
|
|
shares
|
|
56,700,123
|
|
|
|
|
Vanguard Total World Stock Index Fund
|
|
284,308
|
|
shares
|
|
33,408,996
|
|
|
|
|
Total registered investment companies
|
|
56,679,491
|
|
|
|
1,843,456,174
|
|
|
|
|
Collective investment funds:
|
|
|
|
|
|
|||
|
|
BlackRock LifePath 2040
|
|
10,647,886
|
|
shares
|
|
140,569,138
|
|
|
|
|
BlackRock LifePath 2035
|
|
10,541,957
|
|
shares
|
|
139,846,435
|
|
|
|
|
BlackRock LifePath 2045
|
|
10,285,086
|
|
shares
|
|
135,302,361
|
|
|
|
|
Prudential Core Plus Bond Fund
|
|
915,218
|
|
shares
|
|
130,720,548
|
|
|
|
|
BlackRock LifePath 2030
|
|
8,686,090
|
|
shares
|
|
115,642,264
|
|
|
|
|
BlackRock LifePath 2050
|
|
8,582,343
|
|
shares
|
|
114,004,414
|
|
|
|
|
BlackRock LifePath 2025
|
|
6,613,022
|
|
shares
|
|
88,164,149
|
|
|
|
|
BlackRock LifePath 2055
|
|
4,815,361
|
|
shares
|
|
67,461,275
|
|
|
|
|
BlackRock U.S. Debt Index Fund
|
|
5,420,332
|
|
shares
|
|
57,014,056
|
|
|
|
|
BlackRock LifePath 2020
|
|
4,001,723
|
|
shares
|
|
53,337,361
|
|
|
|
|
BlackRock LifePath Retirement
|
|
2,727,454
|
|
shares
|
|
37,637,500
|
|
|
|
|
BlackRock Russell 2500 Index Fund
|
|
1,930,225
|
|
shares
|
|
25,875,441
|
|
|
|
|
BlackRock MSCI ACWI ex-U.S. IMI Index Fund
|
|
1,410,502
|
|
shares
|
|
14,846,379
|
|
|
|
|
BlackRock LifePath 2060
|
|
370,524
|
|
shares
|
|
3,617,020
|
|
|
|
|
BlackRock Strategic Completion Non-Lendable Fund
|
|
347,546
|
|
shares
|
|
3,320,145
|
|
|
|
|
Total collective investment funds
|
|
77,295,269
|
|
|
|
1,127,358,486
|
|
|
*
|
|
Participant-directed brokerage accounts:
|
|
|
|
|
||||
|
|
Fidelity BrokerageLink
|
|
Various mutual funds
and common stocks
|
|
27,507,004
|
|
|||
|
|
Fully benefit-responsive investment contracts:
|
|
|
|
|
|
|||
|
|
Stable Value Fund
|
|
25,457,728
|
|
shares
|
|
359,865,380
|
|
|
*
|
|
Capital One Stock Fund:
|
|
|
|
|
|
|||
|
|
Corporate common stock
|
|
4,060,213
|
|
shares
|
|
292,591,707
|
|
|
|
|
Interest-bearing cash
|
|
12,201,273
|
|
par
|
|
12,201,273
|
|
|
|
|
Total Capital One Stock Fund
|
|
|
|
|
304,792,980
|
|
||
|
|
Total investments
|
|
|
|
|
3,662,980,024
|
|
||
*
|
|
Participant notes receivable, maturing through 2032
|
|
3.25%-9.25% interest rates
|
|
115,798,727
|
|
|||
|
|
Total as of December 31, 2015
|
|
|
|
|
$
|
3,778,778,751
|
|
*
|
Indicates a party-in-interest to the Plan.
|
1 Year Capital One Financial Chart |
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