SEC Form 4 · accession 0001225208-15-002618
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M. Alexander
Officer — Chief Information Officer
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 5:34 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 | Jan 29, 2015 | A | 12,367 | $0.00 | A | 92,924 | D | |
| Common Stock | holding | — | — | — | 2 | I | Robert M. Alexander UGMA | |
| Common Stock | holding | — | — | — | 100 | I | The Alexander Fund |
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 UnitsF3,F2,F4 | $0.00 | Jan 29, 2015 | A | 10,001 | A | — | — | Common Stock | 10,001 | 10,001 | D |
| Restricted Stock UnitsF5 | $0.00 | Jan 29, 2015 | A | 7,658 | A | Feb 15, 2016 | Feb 15, 2016 | Common Stock | 7,658 | 7,658 | D |
| Stock OptionsF6 | $74.96 | Jan 29, 2015 | A | 27,266 | A | — | Jan 28, 2025 | Common Stock | 27,266 | 27,266 | 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.
- F2Each 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.
- F3This award is reported net of 402 units automatically withheld by the Company to satisfy the reporting person's tax obligation.
- F4These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.
- F5Each 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.
- F6This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.