SEC Form 4 · accession 0001225208-15-002614
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yajnik Sanjiv
Officer — President, Financial Services
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 5:31 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 29, 2015 | A | 14,962 | $0.00 | A | 138,737 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Restricted Stock UnitsF4,F3,F5 | $0.00 | Jan 29, 2015 | A | 12,146 | A | — | — | Common Stock | 12,146 | 12,146 | D |
| Restricted Stock UnitsF6 | $0.00 | Jan 29, 2015 | A | 9,379 | A | Feb 15, 2016 | Feb 15, 2016 | Common Stock | 9,379 | 9,379 | D |
| Stock OptionsF7 | $74.96 | Jan 29, 2015 | A | 29,688 | A | — | Jan 28, 2025 | Common Stock | 29,688 | 29,688 | D |
Explanation of responses
- F1This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 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 424 units automatically withheld by the Company to satisfy the reporting person's tax obligations.
- F5These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.
- F6Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.
- F7This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.