Initial Statement of Beneficial Ownership (3)
February 04 2013 - 4:54PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Borgmann Kevin S.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/31/2013
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3. Issuer Name
and
Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [COF]
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(Last)
(First)
(Middle)
1680 CAPITAL ONE DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Risk Officer /
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(Street)
MCLEAN, VA 22102
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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24498.0000
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(1)
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(1)
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Common Stock
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7378.0000
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$0.0000
(2)
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D
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Stock Options
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(3)
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2/20/2018
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Common Stock
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20400.0000
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$48.9500
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D
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Stock Options
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(4)
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12/14/2013
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Common Stock
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2000.0000
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$56.2800
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D
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Stock Options
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(5)
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3/1/2017
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Common Stock
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9140.0000
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$76.7900
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D
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Stock Options
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(6)
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3/14/2015
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Common Stock
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2060.0000
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$78.7100
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D
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Stock Options
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(7)
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3/2/2016
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Common Stock
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3900.0000
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$88.8100
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D
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Explanation of Responses:
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(
1)
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These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.
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(
2)
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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 twenty trading days preceding the vesting date.
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(
3)
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This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.
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(
4)
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This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.
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(
5)
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This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.
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(
6)
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This option became exercisable in 1/3 increments beginning on March 15, 2006 and annually thereafter.
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(
7)
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This option became exercisable in 1/3 increments beginning on March 3, 2007 and annually thereafter.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Borgmann Kevin S.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102
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Chief Risk Officer
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Signatures
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Gregory W. Seward (POA on file)
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2/4/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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