0000927628-19-000110.txt : 20190220 0000927628-19-000110.hdr.sgml : 20190220 20190220165441 ACCESSION NUMBER: 0000927628-19-000110 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: Borgmann Kevin S. CENTRAL INDEX KEY: 0001567914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 19619024 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_155069966694346.xml FORM 4 X0306 4 2019-02-15 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001567914 Borgmann Kevin S. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Senior Advisor to the CEO Common Stock 2019-02-15 4 M 0 3196 0 A 58717 D Common Stock 2019-02-15 4 M 0 2551 0 A 61268 D Common Stock 2019-02-15 4 M 0 2213 0 A 63481 D Common Stock 2019-02-15 4 D 0 3196 79.85 D 60285 D Common Stock 2019-02-15 4 D 0 2551 79.85 D 57734 D Common Stock 2019-02-15 4 D 0 2213 79.85 D 55521 D Common Stock 2019-02-15 4 F 0 2667 81.57 D 52854 D Common Stock 2019-02-15 4 F 0 2123 81.57 D 50731 D Common Stock 2019-02-15 4 F 0 2115 81.57 D 48616 D 2016 Restricted Stock Units 0.0 2019-02-15 4 M 0 3196 0 D Common Stock 3196.0 0 D 2017 Restricted Stock Units 0.0 2019-02-15 4 M 0 2551 0 D Common Stock 2551.0 2552 D 2018 Restricted Stock Units 0.0 2019-02-15 4 M 0 2213 0 D Common Stock 2213.0 4427 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. 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