0000927628-17-000096.txt : 20170217 0000927628-17-000096.hdr.sgml : 20170217 20170217190738 ACCESSION NUMBER: 0000927628-17-000096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170215 FILED AS OF DATE: 20170217 DATE AS OF CHANGE: 20170217 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: 17622951 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 wf-form4_148737642566333.xml FORM 4 X0306 4 2017-02-15 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Information Officer Common Stock 2017-02-15 4 M 0 3607 0 A 111497 D Common Stock 2017-02-15 4 M 0 3334 0 A 114831 D Common Stock 2017-02-15 4 M 0 2894 0 A 117725 D Common Stock 2017-02-15 4 M 0 9729 0 A 127454 D Common Stock 2017-02-15 4 D 0 3607 88.31 D 123847 D Common Stock 2017-02-15 4 D 0 3334 88.31 D 120513 D Common Stock 2017-02-15 4 D 0 2894 88.31 D 117619 D Common Stock 2017-02-15 4 D 0 9729 88.31 D 107890 D Common Stock 2017-02-15 4 F 0 1374 90.93 D 106516 D Common Stock 2017-02-15 4 F 0 1365 90.93 D 105151 D Common Stock 2017-02-15 4 F 0 2260 90.93 D 102891 D Common Stock 2 I Robert M. Alexander UGMA Common Stock 100 I The Alexander Fund 2014 Restricted Stock Units 0.0 2017-02-15 4 M 0 3607 0 D Common Stock 3607.0 0 D 2015 Restricted Stock Units 0.0 2017-02-15 4 M 0 3334 0 D Common Stock 3334.0 3333 D 2016 Restricted Stock Units 0.0 2017-02-15 4 M 0 2894 0 D Common Stock 2894.0 5788 D Restricted Stock Units 0.0 2017-02-15 4 M 0 9729 0 D 2017-02-15 2017-02-15 Common Stock 9729.0 0 D On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 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. Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement. Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement. Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Cleo Belmonte (POA on file) 2017-02-17