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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

     

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934

November 14, 2002

(Date of earliest event reported)

Capital One Financial Corporation

(Exact name of registrant as specified in its charter)
         
Delaware   1-13300   54-1719854
 
 
(State of incorporation   (Commission File   (IRS Employer
or organization)   Number)   Identification No.)
     
2980 Fairview Park Drive    
Suite 1300    
Falls Church, Virginia   22042
 
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (703) 205-1000

 

 

Item 9. Regulation FD Disclosure.

On November 14, 2002, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), certifications by Mr. Fairbank and Mr. Willey, as Chief Executive Officer and Chief Financial Officer of Capital One Financial Corporation (the “Company”), accompanied the Company’s Quarterly Report on Form 10-Q for the three months ended September 30, 2002 (the “Form 10-Q”) filed with the Commission. Copies of the certifications are attached hereto as Exhibit 99.1 and 99.2 and are incorporated by reference herein.

On November 14, 2002, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code) and Rule 13a-14 under the Securities Exchange Act of 1934, the Company filed certifications by Mr. Fairbank and Mr. Willey, as Chief Executive Officer and Chief Financial Officer of the Company, regarding the Form 10-Q. These certifications may be found immediately following the signature pages on the Form 10-Q.

Note: Information in this report (including the exhibits) furnished pursuant to Item 9 shall not be deemed to be “filed” for the purposes of Section 18 of the Securities and Exchange Act of 1934 or otherwise subject to the liabilities of that section. This report will not be deemed an admission as to the materiality of any information in the report that is required to be disclosed solely by Regulation FD.

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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, thereto duly authorized.

             
  CAPITAL ONE FINANCIAL CORPORATION
 
 
Dated: November 14, 2002       By: /s/ John G. Finneran, Jr.
John G. Finneran, Jr.
Executive Vice President, General Counsel and
Corporate Secretary

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EXHIBIT INDEX

     
99.1   Certification of the Registrant’s Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code)
 
99.2   Certification of the Registrant’s Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code)

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