Newkirk Christopher T 4

Accession 0000927628-19-000102

CIK 0000927628other

Filed

Feb 19, 7:00 PM ET

Accepted

Feb 20, 4:49 PM ET

Size

23.6 KB

Accession

0000927628-19-000102

Form 4

Period: 2019-02-15

Pres., Intl. and Sm. Bus. Card

Transactions

Exercise/Conversion
Common Stock
2019-02-15+1,419→ 43,507 total
Exercise/Conversion
Common Stock
2019-02-15+1,253→ 44,760 total
Disposition to Issuer
Common Stock
2019-02-15$79.85/sh−1,419$113,307→ 44,719 total
Disposition to Issuer
Common Stock
2019-02-15$79.85/sh−1,253$100,052→ 43,466 total
Disposition to Issuer
Common Stock
2019-02-15$79.85/sh−1,378$110,033→ 42,088 total
Exercise/Conversion
2016 Restricted Stock Units
2019-02-15−1,419→ 0 total
Exercise: $0.00→ Common Stock (1,419 underlying)
Tax Payment
Common Stock
2019-02-15$81.57/sh−1,307$106,612→ 39,439 total
Exercise/Conversion
2017 Restricted Stock Units
2019-02-15−1,253→ 1,254 total
Exercise: $0.00→ Common Stock (1,253 underlying)
Exercise/Conversion
Common Stock
2019-02-15+1,378→ 46,138 total
Tax Payment
Common Stock
2019-02-15$81.57/sh−1,342$109,467→ 40,746 total
Exercise/Conversion
2018 Restricted Stock Units
2019-02-15−1,378→ 2,757 total
Exercise: $0.00→ Common Stock (1,378 underlying)
Tax Payment
Common Stock
2019-02-15$81.57/sh−1,153$94,050→ 38,286 total

Footnotes (7)

[F1]On February 15, 2019, 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]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.
[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 February 2, 2017. 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 February 1, 2018. This is authorized in the applicable restricted stock award agreement.
[F5]These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.
[F6]These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.
[F7]These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Documents

1 file

CAPITAL ONE FINANCIAL CORP

CIK 0000927628

Entity typeother