0001225208-16-026814.txt : 20160217 0001225208-16-026814.hdr.sgml : 20160217 20160217172045 ACCESSION NUMBER: 0001225208-16-026814 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160215 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FINNERAN JOHN G JR CENTRAL INDEX KEY: 0001238033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 161434369 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2016-02-15 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238033 FINNERAN JOHN G JR 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Gen. Counsel & Corp. Secretary Common Stock 2016-02-15 4 M 0 9912.0000 0.0000 A 146777.0000 D Common Stock 2016-02-15 4 M 0 4879.0000 0.0000 A 151656.0000 D Common Stock 2016-02-15 4 M 0 4302.0000 0.0000 A 155958.0000 D Common Stock 2016-02-15 4 F 0 1931.0000 62.5400 D 154027.0000 D Common Stock 2016-02-15 4 F 0 2361.0000 62.5400 D 151666.0000 D Common Stock 2016-02-15 4 M 0 4302.0000 62.5100 D 147364.0000 D Common Stock 2016-02-15 4 D 0 4879.0000 62.5100 D 142485.0000 D Common Stock 2016-02-15 4 D 0 9912.0000 62.5100 D 132573.0000 D Common Stock 31683.0000 I Finneran/Cotter Children's Trust 2014 Restricted Stock Units 0.0000 2016-02-15 4 M 0 4879.0000 0.0000 D Common Stock 4879.0000 4879.0000 D 2015 Restricted Stock Units 0.0000 2016-02-15 4 M 0 4302.0000 0.0000 D Common Stock 4302.0000 8604.0000 D Restricted Stock Units 0.0000 2016-02-15 4 M 0 9912.0000 0.0000 D 2016-02-15 2016-02-15 Common Stock 9912.0000 0.0000 D Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. On February 15, 2016 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 January 29, 2015. 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 30, 2014. This is authorized in the applicable restricted stock award agreement. These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Cleo Belmonte (POA on file) 2016-02-17