SEC Filing Summary: Capital One Financial Corp (8-K)
Business Context and Reporting Period
This Form 8-K Current Report was filed by Capital One Financial Corporation on November 14, 2002. The filing serves as a Regulation FD disclosure regarding the submission of executive certifications accompanying the Company's Quarterly Report on Form 10-Q for the three months ended September 30, 2002.
Financial Metrics
The filing text does not provide specific values for revenue, profit, cash flow, margins, debt, or liquidity. This document is a procedural filing to attach certifications rather than a financial statement itself.
Material Changes
No material changes to financial performance or operations are reported in this specific document. The filing solely addresses compliance with the Sarbanes-Oxley Act of 2002.
Guidance, Outlook, and Management Commentary
The filing confirms that certifications were provided by Richard Fairbank (Chief Executive Officer) and Richard Willey (Chief Financial Officer) pursuant to Section 906 and Section 302 of the Sarbanes-Oxley Act of 2002. These certifications relate to the accuracy and completeness of the Form 10-Q filed for the quarter ended September 30, 2002. The report explicitly states that information furnished under Item 9 is not deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934.
Key Facts for Investor Verification
- Verify the content of the Form 10-Q for the quarter ended September 30, 2002, as this 8-K only references the certifications attached to that report.
- Confirm the identities of the certifying officers: Richard Fairbank (CEO) and Richard Willey (CFO).
- Note that the certifications are attached as Exhibits 99.1 and 99.2 to this filing.
- Understand that this filing does not contain new financial data or forward-looking guidance.