0001225208-13-002393.txt : 20130129
0001225208-13-002393.hdr.sgml : 20130129
20130129172644
ACCESSION NUMBER: 0001225208-13-002393
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130126
FILED AS OF DATE: 20130129
DATE AS OF CHANGE: 20130129
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berson Jory A
CENTRAL INDEX KEY: 0001365632
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 13556349
MAIL ADDRESS:
STREET 1: 15000 CAPITAL ONE DRIVE
CITY: RICHMOND
STATE: VA
ZIP: 23238
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
X0306
4
2013-01-26
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001365632
Berson Jory A
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
Chief Human Resources Officer
Common Stock
2013-01-26
4
M
0
7250.0000
0
A
97815.0000
D
Common Stock
2013-01-26
4
F
0
2318.0000
56.3200
D
95497.0000
D
Common Stock
2013-01-26
4
D
0
7250.0000
59.8600
D
88247.0000
D
Common Stock
2013-01-27
4
F
0
2718.0000
56.3200
D
85529.0000
D
Common Stock
6258.0000
I
By 401(k)
Restricted Stock Units
2013-01-26
4
M
0
7250.0000
0.0000
D
Common Stock
7250.0000
7250.0000
D
On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.
Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement.
Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.
Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.
Gregory W. Seward (POA on file)
2013-01-29