0000927628-18-000099.txt : 20180220
0000927628-18-000099.hdr.sgml : 20180220
20180220183319
ACCESSION NUMBER: 0000927628-18-000099
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180215
FILED AS OF DATE: 20180220
DATE AS OF CHANGE: 20180220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Slocum Michael
CENTRAL INDEX KEY: 0001528494
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 18626367
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: 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
4
1
wf-form4_151916958490026.xml
FORM 4
X0306
4
2018-02-15
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001528494
Slocum Michael
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
0
1
0
0
President, Commercial Banking
Common Stock
2018-02-15
4
M
0
3576
0
A
60194
D
Common Stock
2018-02-15
4
M
0
3227
0
A
63421
D
Common Stock
2018-02-15
4
M
0
2503
0
A
65924
D
Common Stock
2018-02-15
4
M
0
8050
0
A
73974
D
Common Stock
2018-02-15
4
D
0
3576
99.52
D
70398
D
Common Stock
2018-02-15
4
D
0
3227
99.52
D
67171
D
Common Stock
2018-02-15
4
D
0
2503
99.52
D
64668
D
Common Stock
2018-02-15
4
D
0
8050
99.52
D
56618
D
Common Stock
2018-02-15
4
F
0
2367
98.67
D
54251
D
Common Stock
2018-02-15
4
F
0
2979
98.67
D
51272
D
Common Stock
2018-02-15
4
F
0
2537
98.67
D
48735
D
2015 Restricted Stock Units
0.0
2018-02-15
4
M
0
3576
0
D
Common Stock
3576.0
0
D
2016 Restricted Stock Units
0.0
2018-02-15
4
M
0
3227
0
D
Common Stock
3227.0
3228
D
2017 Restricted Stock Units
0.0
2018-02-15
4
M
0
2503
0
D
Common Stock
2503.0
5007
D
Restricted Stock Units
0.0
2018-02-15
4
M
0
8050
0
D
2018-02-15
2018-02-15
Common Stock
8050.0
0
D
On February 15, 2018 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, 2018 and settled in cash on February 15, 2018 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 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.
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 2, 2017. This is authorized in the applicable restricted stock award agreement.
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.
These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.
Cleo Belmonte (POA on file)
2018-02-20