SEC Form 4 · accession 0001225208-15-003762
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
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 4:53 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 | Feb 10, 2015 | M | 8,007 | $0.00 | A | 146,914 | D | |
| Common StockF1 | Feb 10, 2015 | M | 4,253 | $0.00 | A | 151,167 | D | |
| Common Stock | Feb 10, 2015 | F | 2,114 | $77.06 | D | 149,053 | D | |
| Common Stock | Feb 10, 2015 | F | 2,332 | $77.06 | D | 146,721 | D | |
| Common StockF1 | Feb 10, 2015 | D | 4,253 | $76.39 | D | 142,468 | D | |
| Common StockF1 | Feb 10, 2015 | D | 8,007 | $76.39 | D | 134,461 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2013 Restricted Stock UnitsF1,F5 | $0.00 | Feb 10, 2015 | M | 4,253 | D | — | — | Common Stock | 4,253 | 4,254 | D |
| Restricted Stock UnitsF1,F6 | $0.00 | Feb 10, 2015 | M | 8,007 | D | — | — | Common Stock | 8,007 | 0 | D |
Explanation of responses
- F1On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.
- F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F3Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.
- F4Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.
- F5These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.
- F6These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.