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