0001225208-14-003166.txt : 20140203
0001225208-14-003166.hdr.sgml : 20140203
20140203192112
ACCESSION NUMBER: 0001225208-14-003166
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140130
FILED AS OF DATE: 20140203
DATE AS OF CHANGE: 20140203
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: Borgmann Kevin S.
CENTRAL INDEX KEY: 0001567914
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 14569644
MAIL ADDRESS:
STREET 1: 1680 CAPITAL ONE DRIVE
CITY: MCLEAN
STATE: VA
ZIP: 22102
4
1
doc4.xml
X0306
4
2014-01-30
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001567914
Borgmann Kevin S.
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
Chief Risk Officer
Common Stock
2014-01-30
4
A
0
11274.0000
0.0000
A
33226.0000
D
2014 Restricted Stock Units
0.0000
2014-01-30
4
A
0
9785.0000
0.0000
A
Common Stock
9785.0000
9785.0000
D
Restricted Stock Units
0.0000
2014-01-30
4
A
0
8118.0000
0.0000
A
2015-02-15
2015-02-15
Common Stock
8118.0000
8118.0000
D
Stock Options
70.9600
2014-01-30
4
A
0
22135.0000
0.0000
A
2024-01-29
Common Stock
22135.0000
22135.0000
D
This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
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 fifteen trading days preceding the vesting date.
This award is reported net of 362 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.
Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.
This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.
Gregory W. Seward (POA on file)
2014-02-03