0001225208-12-002909.txt : 20120202 0001225208-12-002909.hdr.sgml : 20120202 20120202171921 ACCESSION NUMBER: 0001225208-12-002909 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: Witter Jonathan W. CENTRAL INDEX KEY: 0001528493 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 12566811 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE 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 0001528493 Witter Jonathan W. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 President, Retail Banking Common Stock 2012-01-31 4 A 0 19309.0000 0.0000 A 20909.0000 D Performance Share Units 0.0000 2012-01-31 4 A 0 23170.0000 0.0000 A 2015-03-15 Common Stock 23170.0000 23170.0000 D Restricted Stock Units 0.0000 2012-01-31 4 A 0 20854.0000 0.0000 A Common Stock 20854.0000 297754.0000 D Restricted Stock Units 0.0000 2012-01-31 4 A 0 13115.0000 0.0000 A 2012-12-15 2002-12-15 Common Stock 13115.0000 13115.0000 D Stock Options 45.7500 2012-01-31 4 A 0 32307.0000 0.0000 A 2022-01-30 Common Stock 32307.0000 32307.0000 D This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. 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