0001225208-12-002908.txt : 20120202
0001225208-12-002908.hdr.sgml : 20120202
20120202171921
ACCESSION NUMBER: 0001225208-12-002908
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120131
FILED AS OF DATE: 20120202
DATE AS OF CHANGE: 20120202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PERLIN GARY L
CENTRAL INDEX KEY: 0001252395
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 12566809
MAIL ADDRESS:
STREET 1: 1680 CAPITAL ONE DRIVE
STREET 2: C/O CAPITAL ONE FINANCIAL CORP
CITY: MCLEAN
STATE: VA
ZIP: 22102
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
4
1
doc4.xml
X0304
4
2012-01-31
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001252395
PERLIN GARY L
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
Chief Financial Officer
Common Stock
2012-01-31
4
M
0
44327.0000
0.0000
A
132669.0000
D
Common Stock
2012-01-31
4
A
0
36476.0000
0.0000
A
169145.0000
D
Common Stock
2012-01-31
4
F
0
18906.0000
45.7500
D
150239.0000
D
2009 Performance Share Units
0.0000
2012-01-31
4
M
0
44327.0000
0.0000
D
2012-03-15
Common Stock
44327.0000
0.0000
D
Performance Share Units
0.0000
2012-01-31
4
A
0
43772.0000
0.0000
A
2015-03-15
Common Stock
43772.0000
43772.0000
D
Restricted Stock Units
0.0000
2012-01-31
4
A
0
39394.0000
0.0000
A
Common Stock
39394.0000
39394.0000
D
Restricted Stock Units
0.0000
2012-01-31
4
A
0
21886.0000
0.0000
A
2012-12-15
2012-12-15
Common Stock
21886.0000
21886.0000
D
Stock Options
45.7500
2012-01-31
4
A
0
61030.0000
0.0000
A
2022-01-30
Common Stock
61030.0000
61030.0000
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.
This 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 Company's average fair market value of the underlying shares of 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