SEC Form 4 · accession 0000927628-18-000057
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Wassmer
Officer — President, U.S. Card
Period of report
Feb 1, 2018
Accepted (ET)
Feb 5, 2018 · 5:36 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,F2 | Feb 1, 2018 | A | 10,743 | $0.00 | A | 90,647 | D | |
| Common Stock | holding | — | — | — | 15 | I | By Trust |
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 UnitsF4,F3,F5 | $0.00 | Feb 1, 2018 | A | 6,243 | A | — | — | Common Stock | 6,243 | 6,243 | 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.
- F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F3Each 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.
- F4This award is reported net of 203 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
- F5These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.
Remarks
Exhibit 24.1 - Power of Attorney - Wassmer