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