SEC Form 4 · accession 0000927628-17-000137
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank G. LaPrade,III
Officer — Chief Enterprise Srvcs Officer
Period of report
Mar 8, 2017
Accepted (ET)
Mar 10, 2017 · 4:43 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 | Mar 8, 2017 | A | 14,432 | $0.00 | A | 73,512 | D | |
| Common Stock | Mar 8, 2017 | F | 7,344 | $92.40 | D | 66,168 | D | |
| Common StockF3 | holding | — | — | — | 711 | I | By 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were earned pursuant to an award of performance shares granted on January 30, 2014 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
- F2These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.
- F3Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.