0000927628-21-000047.txt : 20210208
0000927628-21-000047.hdr.sgml : 20210208
20210208171113
ACCESSION NUMBER: 0000927628-21-000047
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210204
FILED AS OF DATE: 20210208
DATE AS OF CHANGE: 20210208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FAIRBANK RICHARD D
CENTRAL INDEX KEY: 0001238032
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 21602403
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_161282225491720.xml
FORM 4
X0306
4
2021-02-04
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238032
FAIRBANK RICHARD D
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
1
0
0
Chairman, CEO and President
Common Stock
2021-02-04
4
M
0
377
112.66
A
3622464
D
Common Stock
2021-02-04
4
M
0
323
112.66
A
3622787
D
Common Stock
2021-02-04
4
M
0
213
112.66
A
3623000
D
Common Stock
2021-02-04
4
M
0
186
112.66
A
3623186
D
Common Stock
2021-02-04
4
F
0
377
112.66
D
3622809
D
Common Stock
2021-02-04
4
F
0
323
112.66
D
3622486
D
Common Stock
2021-02-04
4
F
0
213
112.66
D
3622273
D
Common Stock
2021-02-04
4
F
0
186
112.66
D
3622087
D
2019 Restricted Stock Units
0.0
2021-02-04
4
M
0
377
0
D
2022-02-15
2022-02-15
Common Stock
377.0
33891
D
Restricted Stock Units
0.0
2021-02-04
4
M
0
323
0
D
2022-02-15
2022-02-15
Common Stock
323.0
21094
D
2020 Restricted Stock Units
0.0
2021-02-04
4
M
0
213
0
D
2023-02-15
2023-02-15
Common Stock
213.0
19363
D
Restricted Stock Units
0.0
2021-02-04
4
M
0
186
0
D
2023-02-15
2023-02-15
Common Stock
186.0
16943
D
2021 Restricted Stock Units
0.0
2021-02-04
4
A
0
17753
0
A
2024-02-15
2024-02-15
Common Stock
17753.0
17753
D
Restricted Stock Units
0.0
2021-02-04
4
A
0
15534
0
A
2024-02-15
2024-02-15
Common Stock
15534.0
15534
D
Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.
Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.
Represents restricted stock units granted on January 31, 2019 for performance year 2018.
Represents restricted stock units granted on January 31, 2019 for performance year 2019.
Represents restricted stock units granted on January 30, 2020 for performance year 2019.
Represents restricted stock units granted on January 30, 2020 for performance year 2020.
Represents restricted stock units granted on February 4, 2021 for performance year 2020.
Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.
Represents restricted stock units granted on February 4, 2021 for performance year 2021.
/s/ Cleo Belmonte (POA on file)
2021-02-08