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