0001225208-14-003160.txt : 20140203 0001225208-14-003160.hdr.sgml : 20140203 20140203191900 ACCESSION NUMBER: 0001225208-14-003160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140130 FILED AS OF DATE: 20140203 DATE AS OF CHANGE: 20140203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAWFORD STEPHEN S CENTRAL INDEX KEY: 0001183416 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 14569633 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 4 1 doc4.xml X0306 4 2014-01-30 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001183416 CRAWFORD STEPHEN S 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Financial Officer Common Stock 2014-01-30 4 A 0 23962.0000 0.0000 A 197962.0000 D 2014 Restricted Stock Units 0.0000 2014-01-30 4 A 0 20806.0000 0.0000 A Common Stock 20806.0000 20806.0000 D Restricted Stock Units 0.0000 2014-01-30 4 A 0 15855.0000 0.0000 A 2015-02-15 2015-02-15 Common Stock 15855.0000 15855.0000 D Stock Options 70.9600 2014-01-30 4 A 0 47046.0000 0.0000 A 2024-01-29 Common Stock 47046.0000 47046.0000 D This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. This award is reported net of 760 units automatically withheld by the Company to satisfy the reporting person's tax obligation. These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Gregory W. Seward (POA on file) 2014-02-03