SEC Form 4 · accession 0001225208-15-004493
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Scott Blackley
Officer — Principal Accounting Officer
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 4:32 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 | Feb 15, 2015 | M | 3,209 | $0.00 | A | 25,098 | D | |
| Common Stock | Feb 15, 2015 | F | 899 | $78.88 | D | 24,199 | D | |
| Common StockF1 | Feb 15, 2015 | D | 3,209 | $76.27 | D | 20,990 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | Feb 15, 2015 | M | 3,209 | D | Feb 15, 2015 | Feb 15, 2015 | Common Stock | 3,209 | 0 | D |
Explanation of responses
- F1Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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.
- F2Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement.