0000927628-19-000094.txt : 20190220
0000927628-19-000094.hdr.sgml : 20190220
20190220164432
ACCESSION NUMBER: 0000927628-19-000094
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190215
FILED AS OF DATE: 20190220
DATE AS OF CHANGE: 20190220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sanjiv Yajnik
CENTRAL INDEX KEY: 0001466919
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 19618883
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]
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_155069905602313.xml
FORM 4
X0306
4
2019-02-15
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001466919
Sanjiv Yajnik
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
0
1
0
0
President, Financial Services
Common Stock
2019-02-15
4
M
0
3566
0
A
109752
D
Common Stock
2019-02-15
4
M
0
2708
0
A
112460
D
Common Stock
2019-02-15
4
M
0
2304
0
A
114764
D
Common Stock
2019-02-15
4
D
0
3566
79.85
D
111198
D
Common Stock
2019-02-15
4
D
0
2708
79.85
D
108490
D
Common Stock
2019-02-15
4
D
0
2304
79.85
D
106186
D
Common Stock
2019-02-15
4
F
0
2411
81.57
D
103775
D
Common Stock
2019-02-15
4
F
0
1833
81.57
D
101942
D
Common Stock
2019-02-15
4
F
0
1712
81.57
D
100230
D
2016 Restricted Stock Units
0.0
2019-02-15
4
M
0
3566
0
D
Common Stock
3566.0
0
D
2017 Restricted Stock Units
0.0
2019-02-15
4
M
0
2708
0
D
Common Stock
2708.0
2709
D
2018 Restricted Stock Units
0.0
2019-02-15
4
M
0
2304
0
D
Common Stock
2304.0
4610
D
On February 15, 2019, 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.
Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
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 4, 2016. 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 February 2, 2017. 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 February 1, 2018. This is authorized in the applicable restricted stock award agreement.
These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.
These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.
These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.
Cleo Belmonte (POA on file)
2019-02-20