SEC Form 4 · accession 0001225208-16-025847

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 4, 2016

Accepted (ET)

Feb 8, 2016 · 9:12 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 Stock^F1	Feb 4, 2016	A	16,563	$0.00	A	57,001	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2016 Restricted Stock Units^F3,F2,F4	$0.00	Feb 4, 2016	A	9,588	A	—	—	Common Stock	9,588	9,588	D
Restricted Stock Units^F5	$0.00	Feb 4, 2016	A	10,749	A	Feb 15, 2017	Feb 15, 2017	Common Stock	10,749	10,749	D
Stock Options^F6	$63.73	Feb 4, 2016	A	28,676	A	—	Feb 3, 2026	Common Stock	28,676	28,676	D

F1This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 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 361 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, 2017 and annually thereafter.
F5Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 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, 2017 and annually thereafter.

poaborgmann.txt