SEC Form 4 · accession 0000927628-18-000322
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lia Dean
Officer — Head of Bank Mktg and Retail
Period of report
Oct 31, 2018
Accepted (ET)
Nov 2, 2018 · 4:05 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 | Oct 31, 2018 | F | 346 | $89.30 | D | 18,294 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the restricted stock. This share withholding was authorized in the restricted stock award agreement.