0000927628-24-000128.txt : 20240313
0000927628-24-000128.hdr.sgml : 20240313
20240313185325
ACCESSION NUMBER: 0000927628-24-000128
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240311
FILED AS OF DATE: 20240313
DATE AS OF CHANGE: 20240313
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FAIRBANK RICHARD D
CENTRAL INDEX KEY: 0001238032
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 24747409
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]
ORGANIZATION NAME: 02 Finance
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
wk-form4_1710370395.xml
FORM 4
X0508
4
2024-03-11
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238032
FAIRBANK RICHARD D
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
1
0
0
Chairman and CEO
0
Common Stock
2024-03-11
4
A
0
111033
0
A
3959456
D
Common Stock
2024-03-11
4
F
0
50076
138.46
D
3909380
D
Common Stock
2024-03-11
4
A
0
42273
0
A
3951653
D
Common Stock
2024-03-11
4
F
0
19066
138.46
D
3932587
D
These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.
These shares were earned pursuant to a performance award agreement granted on February 4, 2021, as amended November 2, 2023, based on the Company's total shareholder return against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
/s/ Jason S. Frank (POA on file)
2024-03-13