SEC Form 4 · accession 0000927628-19-000105
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
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 4:51 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 StockF2,F3 | Feb 15, 2019 | F | 469 | $81.57 | D | 17,833 | D | |
| Common Stock | Feb 15, 2019 | F | 465 | $81.57 | D | 17,368 | D | |
| Common Stock | Feb 15, 2019 | F | 511 | $81.57 | D | 16,857 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement.
- F2The number of shares reported as direct holdings reflects the correction of a past overstatement of 6,364 shares arising from an administrative reporting error.
- F3Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F4Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement.
- F5Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.