0001225208-15-004481.txt : 20150219 0001225208-15-004481.hdr.sgml : 20150219 20150218162934 ACCESSION NUMBER: 0001225208-15-004481 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150215 FILED AS OF DATE: 20150218 DATE AS OF CHANGE: 20150218 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FINNERAN JOHN G JR CENTRAL INDEX KEY: 0001238033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 15628334 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2015-02-15 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238033 FINNERAN JOHN G JR 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Gen. Counsel & Corp. Secretary Common Stock 2015-02-15 4 M 0 10119.0000 0.0000 A 117779.0000 D Common Stock 2015-02-15 4 M 0 4879.0000 0.0000 A 122658.0000 D Common Stock 2015-02-15 4 F 0 2861.0000 78.8800 D 119797.0000 D Common Stock 2015-02-15 4 D 0 4879.0000 76.2700 D 114918.0000 D Common Stock 2015-02-15 4 D 0 10119.0000 76.2700 D 104799.0000 D Common Stock 2015-02-17 4 M 0 57760.0000 78.7100 A 162559.0000 D Common Stock 2015-02-17 4 S 0 57760.0000 79.3600 D 104799.0000 D Common Stock 33221.0000 I By Spouse Common Stock 31683.0000 I Finneran/Cotter Children's Trust 2014 Restricted Stock Units 0.0000 2015-02-15 4 M 0 4879.0000 0.0000 D Common Stock 4879.0000 9758.0000 D Restricted Stock Units 0.0000 2015-02-15 4 M 0 10119.0000 0.0000 D 2015-02-15 2015-02-15 Common Stock 10119.0000 0.0000 D Stock Options 78.7100 2015-02-17 4 M 0 57760.0000 0.0000 D 2015-03-14 Common Stock 57760.0000 0.0000 D Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. On February 15, 2015, 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 January 30, 2014. This is authorized in the applicable restricted stock award agreement. This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. This option becomes exercisable in 33 1/3% increments beginning on March 15, 2006 and annually from that date thereafter. Gregory W. Seward (POA on file) 2015-02-18