SEC Form 4/A · accession 0001225208-15-001431
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Stephen S Crawford
Officer — Chief Financial Officer
Period of report
Jan 30, 2014
Accepted (ET)
Jan 15, 2015 · 4:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927628
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Restricted Stock UnitsF2,F1,F3 | $0.00 | Jan 30, 2014 | A | 20,795 | A | — | — | Common Stock | 20,795 | 20,795 | D |
Explanation of responses
- F1Each 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.
- F2This award is reported net of 771 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
- F3These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.
Remarks
This form is filed to report additional units automatically withheld by the Company to satisfy the reporting person's tax obligation that were not reported due to an administrative error by the Company.