0000927628-23-000052.txt : 20230130 0000927628-23-000052.hdr.sgml : 20230130 20230130171232 ACCESSION NUMBER: 0000927628-23-000052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230126 FILED AS OF DATE: 20230130 DATE AS OF CHANGE: 20230130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAIRBANK RICHARD D CENTRAL INDEX KEY: 0001238032 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 23569035 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_167511673751690.xml FORM 4 X0306 4 2023-01-26 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238032 FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 1 0 0 Chairman and CEO Common Stock 2023-01-26 4 M 0 290 116.07 A 3757319 D Common Stock 2023-01-26 4 M 0 169 116.07 A 3757488 D Common Stock 2023-01-26 4 M 0 220 116.07 A 3757708 D Common Stock 2023-01-26 4 M 0 183 116.07 A 3757891 D Common Stock 2023-01-26 4 F 0 290 116.07 D 3757601 D Common Stock 2023-01-26 4 F 0 169 116.07 D 3757432 D Common Stock 2023-01-26 4 F 0 220 116.07 D 3757212 D Common Stock 2023-01-26 4 F 0 183 116.07 D 3757029 D 2021 Restricted Stock Units 0.0 2023-01-26 4 M 0 290 0 D 2024-02-15 2024-02-15 Common Stock 290.0 17270 D Restricted Stock Units 0.0 2023-01-26 4 M 0 169 0 D 2024-02-15 2024-02-15 Common Stock 169.0 15196 D 2022 Restricted Stock Units 0.0 2023-01-26 4 M 0 220 0 D 2025-02-15 2025-02-15 Common Stock 220.0 20011 D Restricted Stock Units 0.0 2023-01-26 4 M 0 183 0 D 2025-02-15 2025-02-15 Common Stock 183.0 16676 D 2023 Restricted Stock Units 0.0 2023-01-26 4 A 0 24555 0 A 2026-02-15 2026-02-15 Common Stock 24555.0 24555 D Restricted Stock Units 0.0 2023-01-26 4 A 0 21539 0 A 2026-02-15 2026-02-15 Common Stock 21539.0 21539 D Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on January 26, 2023, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Represents the automatic withholding of restricted stock units granted in February 2022 which settled in cash based on fair market value on January 26, 2023, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Represents restricted stock units granted on February 4, 2021 for performance year 2020. Represents restricted stock units granted on February 4, 2021 for performance year 2021. Represents restricted stock units granted on February 3, 2022 for performance year 2021. Represents restricted stock units granted on February 3, 2022 for performance year 2022. Represents restricted stock units granted January 26, 2023 for performance year 2022. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. Represents restricted stock units granted January 26, 2023 for performance year 2023. /s/ Cleo Belmonte (POA on file) 2023-01-30