0001225208-13-003869.txt : 20130212 0001225208-13-003869.hdr.sgml : 20130212 20130212191721 ACCESSION NUMBER: 0001225208-13-003869 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130210 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 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: 13599031 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 X0306 4 2013-02-10 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001528493 Witter Jonathan W. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 President, Retail Banking Common Stock 2013-02-10 4 M 0 6951.0000 0.0000 A 50120.0000 D Common Stock 2013-02-10 4 F 0 2313.0000 57.2700 D 47807.0000 D Common Stock 2013-02-10 4 D 0 6951.0000 57.8700 D 40856.0000 D Restricted Stock Units 0.0000 2013-02-10 4 M 0 6951.0000 0.0000 D Common Stock 6951.0000 13903.0000 D On February 10, 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. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. 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 31, 2012. This is authorized in the applicable restricted stock award agreement. These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Gregory W. Seward (POA on file) 2013-02-12