0000927628-19-000106.txt : 20190220
0000927628-19-000106.hdr.sgml : 20190220
20190220165211
ACCESSION NUMBER: 0000927628-19-000106
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190215
FILED AS OF DATE: 20190220
DATE AS OF CHANGE: 20190220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FINNERAN JOHN G JR
CENTRAL INDEX KEY: 0001238033
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 19618991
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_155069951703427.xml
FORM 4
X0306
4
2019-02-15
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238033
FINNERAN JOHN G JR
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
0
1
0
0
Senior Advisor and Corp Secy
Common Stock
2019-02-15
4
M
0
3754
0
A
129359
D
Common Stock
2019-02-15
4
M
0
2852
0
A
132211
D
Common Stock
2019-02-15
4
M
0
2399
0
A
134610
D
Common Stock
2019-02-15
4
D
0
3754
79.85
D
130856
D
Common Stock
2019-02-15
4
D
0
2852
79.85
D
128004
D
Common Stock
2019-02-15
4
D
0
2399
79.85
D
125605
D
Common Stock
2019-02-15
4
F
0
3126
81.57
D
122479
D
Common Stock
2019-02-15
4
F
0
2375
81.57
D
120104
D
Common Stock
2019-02-15
4
F
0
2016
81.57
D
118088
D
2016 Restricted Stock Units
0.0
2019-02-15
4
M
0
3754
0
D
Common Stock
3754.0
0
D
2017 Restricted Stock Units
0.0
2019-02-15
4
M
0
2852
0
D
Common Stock
2852.0
2852
D
2018 Restricted Stock Units
0.0
2019-02-15
4
M
0
2399
0
D
Common Stock
2399.0
4798
D
On February 15, 2019, 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.
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.
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 1, 2018. This is authorized in the applicable restricted stock award agreement.
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.
These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.
Cleo Belmonte (POA on file)
2019-02-20