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