SEC Form 4 · accession 0000927628-18-000046
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin S. Borgmann
Officer — Senior Advisor to the CEO
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 StockF1 | Feb 1, 2018 | A | 13,146 | $0.00 | A | 70,783 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2018 Restricted Stock UnitsF3,F2,F4 | $0.00 | Feb 1, 2018 | A | 6,640 | A | — | — | Common Stock | 6,640 | 6,640 | D |
Explanation of responses
- 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.
- 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 226 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, 2019 and annually thereafter.
Remarks
Exhibit 24.1 - Power of Attorney - Borgmann