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