Newkirk Christopher T 4

4 · CAPITAL ONE FINANCIAL CORP · Filed Feb 19, 2020

Form 4

Period: 2020-02-15

Pres,Small Bus, Intl & Walmart

Transactions

Exercise/Conversion
Common Stock
[F1]
2020-02-15+1,254→ 39,364 total
Exercise/Conversion
Common Stock
[F1]
2020-02-15+1,378→ 40,742 total
Disposition to Issuer
Common Stock
[F1]
2020-02-15$102.03/sh−1,254$127,946→ 39,488 total
Disposition to Issuer
Common Stock
[F1]
2020-02-15$102.03/sh−1,378$140,597→ 38,110 total
Tax Payment
Common Stock
[F2]
2020-02-15$102.64/sh−1,307$134,150→ 36,803 total
Tax Payment
Common Stock
[F3]
2020-02-15$102.64/sh−1,153$118,344→ 35,650 total
Tax Payment
Common Stock
[F4]
2020-02-15$102.64/sh−1,813$186,086→ 33,837 total
Exercise/Conversion
2017 Restricted Stock Units
[F1][F5]
2020-02-15−1,254→ 0 total
Exercise: $0.00→ Common Stock (1,254 underlying)
Exercise/Conversion
2018 Restricted Stock Units
[F1][F6]
2020-02-15−1,378→ 1,379 total
Exercise: $0.00→ Common Stock (1,378 underlying)

Footnotes (6)

[F1]On February 15, 2020, 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 2, 2017. 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 1, 2018. 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 31, 2019. This is authorized in the applicable restricted stock award agreement.
[F5]These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.
[F6]These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Signature

Cleo Belmonte (POA on file)|2020-02-19

Documents

1 file