0001225208-14-008175.txt : 20140312 0001225208-14-008175.hdr.sgml : 20140312 20140312193307 ACCESSION NUMBER: 0001225208-14-008175 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140310 FILED AS OF DATE: 20140312 DATE AS OF CHANGE: 20140312 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: Alexander Robert M. CENTRAL INDEX KEY: 0001425374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 14689102 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2014-03-10 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Information Officer Common Stock 2014-03-10 4 M 0 11880.0000 0.0000 A 97564.0000 D Common Stock 2014-03-10 4 F 0 5667.0000 75.1500 D 91897.0000 D Common Stock 2.0000 I Robert M. Alexander UGMA Common Stock 100.0000 I The Alexander Fund Performance Share Units 0.0000 2014-03-10 4 M 0 11880.0000 0.0000 D Common Stock 11880.0000 0.0000 D These performance shares for the January 26, 2011 grant were settled at the end of a three-year performance period based on the Company's relative and absolute cash return on average tangible assets against 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. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. 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 26, 2011 grant. This is authorized in the performance share award agreement. Gregory W. Seward (POA on file) 2014-03-12