SEC Form 4 · accession 0000927628-17-000162
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kleber Santos
Officer — Pres., Retail & Direct Banking
Period of report
Mar 27, 2017
Accepted (ET)
Mar 29, 2017 · 4:23 pm EDT
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 Stock | holding | — | — | — | 17,470 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Mar 27, 2017 | A | 925 | A | Feb 15, 2018 | Feb 15, 2018 | Common Stock | 925 | 4,412 | D |
Explanation of responses
- F1On March 27, 2017, the reporting person received a grant of cash-settled restricted stock units in connection with his appointment to the position of President, Retail and Direct Banking.
- F2Each 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.