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COF Capital One Financial Corporation

145.50
0.89 (0.62%)
Last Updated: 14:41:42
Delayed by 15 minutes
Share Name Share Symbol Market Type
Capital One Financial Corporation NYSE:COF NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.89 0.62% 145.50 145.61 144.19 144.64 142,790 14:41:42

Statement of Changes in Beneficial Ownership (4)

12/02/2015 9:53pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

LaPrade,III Frank G.
2. Issuer Name and Ticker or Trading Symbol

CAPITAL ONE FINANCIAL CORP [ COF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Enterprise Srvcs Officer
(Last)          (First)          (Middle)

1680 CAPITAL ONE DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

2/10/2015
(Street)

MCLEAN, VA 22102
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   2/10/2015     M    6709.0000   A $0.0000   (1) 69266.0000   D    
Common Stock   2/10/2015     M    3496.0000   A $0.0000   (1) 72762.0000   D    
Common Stock   2/10/2015     F (2)    1929.0000   D $77.0600   70833.0000   D    
Common Stock   2/10/2015     F (3)    2056.0000   D $77.0600   68777.0000   D    
Common Stock   2/10/2015     D    3496.0000   D $76.3900   (1) 65281.0000   D    
Common Stock   2/10/2015     D    6709.0000   D $76.3900   (1) 58572.0000   D    
Common Stock                  684.0000   (4) I   By 401(k)  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
2013 Restricted Stock Units   $0.0000   (1) 2/10/2015     M         3496.0000      (5)   (5) Common Stock   3496.0000   $0.0000   (1) 3497.0000   D    
Restricted Stock Units   $0.0000   (1) 2/10/2015     M         6709.0000      (6)   (6) Common Stock   6709.0000   $0.0000   (1) 0.0000   D    

Explanation of Responses:
( 1)  On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.
( 2)  Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.
( 3)  Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.
( 4)  Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the latest transaction.
( 5)  These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.
( 6)  These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
LaPrade,III Frank G.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102


Chief Enterprise Srvcs Officer

Signatures
Gregory W. Seward (POA on file) 2/12/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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