0001225208-12-002911.txt : 20120202
0001225208-12-002911.hdr.sgml : 20120202
20120202171931
ACCESSION NUMBER: 0001225208-12-002911
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120131
FILED AS OF DATE: 20120202
DATE AS OF CHANGE: 20120202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP
CENTRAL INDEX KEY: 0000927628
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
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: SCHNALL PETER A
CENTRAL INDEX KEY: 0001238041
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 12566814
BUSINESS ADDRESS:
STREET 1: CAPITAL ONE FINANICAL CORP
STREET 2: 1680 CAPITAL ONE DRIVE
CITY: MCLEAN
STATE: VA
ZIP: 22102
BUSINESS PHONE: 7037201000
MAIL ADDRESS:
STREET 1: 1680 CAPITAL ONE DRIVE
CITY: MCLEAN
STATE: VA
ZIP: 22102
4
1
doc4.xml
X0304
4
2012-01-31
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238041
SCHNALL PETER A
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
Chief Risk Officer
Common Stock
2012-01-31
4
M
0
31707.0000
0.0000
A
184073.0000
D
Common Stock
2012-01-31
4
A
0
25219.0000
0.0000
A
209292.0000
D
Common Stock
2012-01-31
4
F
0
13381.0000
45.7500
D
195911.0000
D
2009 Performance Share Units
0.0000
2012-01-31
4
M
0
31707.0000
0.0000
D
2012-03-15
Common Stock
31707.0000
0.0000
D
Performance Share Units
0.0000
2012-01-31
4
A
0
30264.0000
0.0000
A
2015-03-15
Common Stock
30264.0000
30264.0000
D
Restricted Stock Units
0.0000
2012-01-31
4
A
0
27237.0000
0.0000
A
Common Stock
27237.0000
23237.0000
D
Restricted Stock Units
0.0000
2012-01-31
4
A
0
15591.0000
0.0000
A
2012-12-15
2012-12-15
Common Stock
15591.0000
15591.0000
D
Stock Options
45.7500
2012-01-31
4
A
0
42196.0000
0.0000
A
2022-01-30
Common Stock
42196.0000
42196.0000
D
These performance shares for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
The restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.
These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 29, 2009 grant. This is authorized in the performance share award agreement.
These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.
These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.
Each restricted stock unit will be settled in cash based on the fair market value of the underlying shares of the Company's common stock over the twenty trading days preceding the vesting date.
These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.
This option becomes exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.
Gregory W. Seward (POA on file)
2012-02-02