SEC Form 4 · accession 0001225208-15-007748

CAPITAL ONE FINANCIAL CORP · COF

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

Reporting owner

Officer — Chief Enterprise Srvcs Officer

Period of report

Mar 10, 2015

Accepted (ET)

Mar 12, 2015 · 6:10 pm EDT

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 Stock^F1	Mar 10, 2015	M	23,105	$0.00	A	79,323	D
Common Stock	Mar 10, 2015	F	11,761	$77.72	D	67,562	D
Common Stock^F3	holding	—	—		—	686	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Share Units^F1	$0.00	Mar 10, 2015	M	23,105	D	—	Mar 15, 2015	Common Stock	23,105	0	D

F1These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
F2These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 31, 2012 grant. This is authorized in the performance share award agreement.
F3Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the latest transaction.