0000927628-24-000130.txt : 20240313 0000927628-24-000130.hdr.sgml : 20240313 20240313185356 ACCESSION NUMBER: 0000927628-24-000130 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: Alexander Robert M. CENTRAL INDEX KEY: 0001425374 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 24747413 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_1710370426.xml FORM 4 X0508 4 2024-03-11 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Information Officer 0 Common Stock 2024-03-11 4 A 0 19277 0 A 91823 D Common Stock 2024-03-11 4 F 0 8694 138.46 D 83129 D Common Stock 2 I Robert M. Alexander UGMA Common Stock 100 I The Alexander Fund These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended 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. 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. /s/ Jason S. Frank (POA on file) 2024-03-13