CAPITAL ONE FINANCIAL CORP 4

Accession 0000927628-17-000100

$COFCIK 0000927628operating

View on SEC.gov Company Profile

Filed

Feb 16, 7:00 PM ET

Accepted

Feb 17, 7:11 PM ET

Size

28.8 KB

Accession

0000927628-17-000100

Insider Transaction Report

Form 4

Period: 2017-02-15

CAPITAL ONE FINANCIAL CORPCOF

CRAWFORD STEPHEN S

CFO Designate

Transactions

Exercise/Conversion
Common Stock
2017-02-15+5,806→ 198,745 total
Exercise/Conversion
Common Stock
2017-02-15+6,931→ 186,182 total
Disposition to Issuer
Common Stock
2017-02-15$88.31/sh−6,931$612,077→ 210,628 total
Disposition to Issuer
Common Stock
2017-02-15$88.31/sh−18,814$1,661,464→ 179,251 total
Exercise/Conversion
2015 Restricted Stock Units
2017-02-15−6,757→ 6,756 total
Exercise: $0.00→ Common Stock (6,757 underlying)
Tax Payment
Common Stock
2017-02-15$90.93/sh−4,360$396,455→ 171,938 total
Tax Payment
Common Stock
2017-02-15$90.93/sh−5,228$475,382→ 166,710 total
Exercise/Conversion
2014 Restricted Stock Units
2017-02-15−6,931→ 0 total
Exercise: $0.00→ Common Stock (6,931 underlying)
Exercise/Conversion
2016 Restricted Stock Units
2017-02-15−5,806→ 11,613 total
Exercise: $0.00→ Common Stock (5,806 underlying)
Exercise/Conversion
Restricted Stock Units
2017-02-15−18,814→ 0 total
Exercise: $0.00From: 2017-02-15Exp: 2017-02-15→ Common Stock (18,814 underlying)
Exercise/Conversion
Common Stock
2017-02-15+6,757→ 192,939 total
Exercise/Conversion
Common Stock
2017-02-15+18,814→ 217,559 total
Disposition to Issuer
Common Stock
2017-02-15$88.31/sh−6,757$596,711→ 203,871 total
Disposition to Issuer
Common Stock
2017-02-15$88.31/sh−5,806$512,728→ 198,065 total
Tax Payment
Common Stock
2017-02-15$90.93/sh−2,953$268,516→ 176,298 total

Footnotes (8)

[F1]On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.
[F2]Each restricted stock unit vested on January 1, 2017 and 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.
[F3]Represents 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.
[F4]Represents 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 29, 2015. This is authorized in the applicable restricted stock award agreement.
[F5]Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement.
[F6]These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.
[F7]These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.
[F8]These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Documents

1 file

4
wf-form4_148737668079215.xmlPrimary
FORM 4

Issuer

CAPITAL ONE FINANCIAL CORP

CIK 0000927628

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000927628

Filing Metadata

Form type: 4
Filed: Feb 16, 7:00 PM ET
Accepted: Feb 17, 7:11 PM ET
Size: 28.8 KB

View on SEC.gov