0000927628-21-000072.txt : 20210217
0000927628-21-000072.hdr.sgml : 20210217
20210217164125
ACCESSION NUMBER: 0000927628-21-000072
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210215
FILED AS OF DATE: 20210217
DATE AS OF CHANGE: 20210217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berson Jory A
CENTRAL INDEX KEY: 0001365632
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 21645460
MAIL ADDRESS:
STREET 1: 15000 CAPITAL ONE DRIVE
CITY: RICHMOND
STATE: VA
ZIP: 23238
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_161359805029469.xml
FORM 4
X0306
4
2021-02-15
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001365632
Berson Jory A
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
0
1
0
0
Chief Human Resources Officer
Common Stock
2021-02-15
4
M
0
1965
0
A
63673
D
Common Stock
2021-02-15
4
D
0
1965
109.60
D
61708
D
Common Stock
2021-02-15
4
F
0
1114
117.75
D
60594
D
Common Stock
2021-02-15
4
F
0
1480
117.75
D
59114
D
Common Stock
2021-02-15
4
F
0
1657
117.75
D
57457
D
Common Stock
7063
I
By 401(k)
2018 Restricted Stock Units
0.0
2021-02-15
4
M
0
1965
0
D
Common Stock
1965.0
0
D
On February 15, 2021, 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 1, 2018. 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 31, 2019. 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 30, 2020. This is authorized in the applicable restricted stock award agreement.
These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.
/s/ Cleo Belmonte (POA on file)
2021-02-17