0000927628-20-000082.txt : 20200219 0000927628-20-000082.hdr.sgml : 20200219 20200219192357 ACCESSION NUMBER: 0000927628-20-000082 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200215 FILED AS OF DATE: 20200219 DATE AS OF CHANGE: 20200219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wassmer Michael J CENTRAL INDEX KEY: 0001691706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 20631997 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_158215821938060.xml FORM 4 X0306 4 2020-02-15 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001691706 Wassmer Michael J 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 President, U.S. Card Common Stock 2020-02-15 4 M 0 2350 0 A 100616 D Common Stock 2020-02-15 4 M 0 2081 0 A 102697 D Common Stock 2020-02-15 4 D 0 2350 102.03 D 100347 D Common Stock 2020-02-15 4 D 0 2081 102.03 D 98266 D Common Stock 2020-02-15 4 F 0 2743 102.64 D 95523 D Common Stock 2020-02-15 4 F 0 1616 102.64 D 93907 D Common Stock 2020-02-15 4 F 0 2534 102.64 D 91373 D Common Stock 15 I By Trust 2017 Restricted Stock Units 0.0 2020-02-15 4 M 0 2350 0 D Common Stock 2350.0 0 D 2018 Restricted Stock Units 0.0 2020-02-15 4 M 0 2081 0 D Common Stock 2081.0 2081 D On February 15, 2020, 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 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. 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 31, 2019. This is authorized in the applicable restricted stock award agreement. 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) 2020-02-19