SEC Form 4 · accession 0000927628-19-000054
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheldon Hall
Officer — Chief Risk Officer
Period of report
Jan 31, 2019
Accepted (ET)
Feb 4, 2019 · 6:57 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 | Jan 31, 2019 | A | 8,726 | $0.00 | A | 53,465 | D | |
| Common StockF1,F3 | Jan 31, 2019 | A | 379 | $0.00 | A | 3,530 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 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 filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018.
- F3Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the since the filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018.