SEC Form 4 · accession 0001225208-15-003763

CAPITAL ONE FINANCIAL CORP · COF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Risk Officer

Period of report

Feb 10, 2015

Accepted (ET)

Feb 12, 2015 · 4:54 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
Common Stock^F1	Feb 10, 2015	M	2,460	$0.00	A	45,430	D
Common Stock^F1	Feb 10, 2015	M	2,346	$0.00	A	47,776	D
Common Stock	Feb 10, 2015	F	1,339	$77.06	D	46,437	D
Common Stock	Feb 10, 2015	F	1,759	$77.06	D	44,678	D
Common Stock^F1	Feb 10, 2015	D	2,346	$76.39	D	42,332	D
Common Stock^F1	Feb 10, 2015	D	2,460	$76.39	D	39,872	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2013 Restricted Stock Units^F1,F4	$0.00	Feb 10, 2015	M	2,346	D	—	—	Common Stock	2,346	2,347	D
Restricted Stock Units^F1,F5	$0.00	Feb 10, 2015	M	2,460	D	—	—	Common Stock	2,460	0	D

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.
F2Represents 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.
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.
F4These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.
F5These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.