SEC Form 4 · accession 0000927628-18-000044

CAPITAL ONE FINANCIAL CORP · COF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Human Resources Officer

Period of report

Feb 1, 2018

Accepted (ET)

Feb 5, 2018 · 5:32 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 Stock^F1,F2	Feb 1, 2018	A	11,140	$0.00	A	82,203	D
Common Stock^F3	holding	—	—		—	6,706	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2018 Restricted Stock Units^F5,F4,F6	$0.00	Feb 1, 2018	A	5,893	A	—	—	Common Stock	5,893	5,893	D

F1This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
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.
F4Each 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.
F5This award is reported net of 190 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
F6These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Exhibit 24.1 - Power of Attorney - Berson