SEC Form 4 · accession 0000927628-17-000055
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher T Newkirk
Officer — Pres., Intl. and Sm. Bus. Card
Period of report
Feb 2, 2017
Accepted (ET)
Feb 6, 2017 · 7:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927628
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 2, 2017 | A | 8,112 | $0.00 | A | 34,242 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017 Restricted Stock UnitsF3,F2,F4 | $0.00 | Feb 2, 2017 | A | 3,760 | A | — | — | Common Stock | 3,760 | 3,760 | D |
| Restricted Stock UnitsF5 | $0.00 | Feb 2, 2017 | A | 5,212 | A | Feb 15, 2018 | Feb 15, 2018 | Common Stock | 5,212 | 5,212 | D |
Explanation of responses
- F1This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
- F2Each 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.
- F3This award is reported net of 146 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
- F4These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.
- F5Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 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.