0001225208-13-002876.txt : 20130204 0001225208-13-002876.hdr.sgml : 20130204 20130204164528 ACCESSION NUMBER: 0001225208-13-002876 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130131 FILED AS OF DATE: 20130204 DATE AS OF CHANGE: 20130204 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: 13570601 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 2013-01-31 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001365632 Berson Jory A 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Human Resources Officer Common Stock 2013-01-31 4 A 0 18289.0000 0.0000 A 103818.0000 D Common Stock 6255.0000 I By 401(k) 2013 Restricted Stock Units 0.0000 2013-01-31 4 A 0 12071.0000 0.0000 A Common Stock 12071.0000 12071.0000 D Restricted Stock Units 0.0000 2013-01-31 4 A 0 10974.0000 0.0000 A 2013-12-15 2013-12-15 Common Stock 10974.0000 10974.0000 D Stock Options 56.3200 2013-01-31 4 A 0 34110.0000 0.0000 A 2023-01-30 Common Stock 34110.0000 34110.0000 D This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. 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. 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, 2014 and annually thereafter. This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Gregory W. Seward (POA on file) 2013-02-04