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CAPITAL ONE FINANCIAL CORP — Director's Dealing 2012
Jan 30, 2012
29823_dirs_2012-01-30_81fdf3b9-45e4-4bf1-9149-011524870b3d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2012-01-26
Reporting Person: SCHNALL PETER A (Chief Risk Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-01-26 | Common Stock | M | 8119.0000 | $0.0000 | Acquired | 181245.0000 | Direct |
| 2012-01-26 | Common Stock | F | 2490.0000 | $45.6100 | Disposed | 178755.0000 | Direct |
| 2012-01-26 | Common Stock | D | 8119.0000 | $45.8100 | Disposed | 170636.0000 | Direct |
| 2012-01-27 | Common Stock | F | 4049.0000 | $46.0500 | Disposed | 166587.0000 | Direct |
| 2012-01-29 | Common Stock | F | 14221.0000 | $46.0500 | Disposed | 152366.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-26 | Restricted Stock Units | $0.0000 | M | 8119.0000 | Disposed | Common Stock (8119.0000) | Direct |
Footnotes
F1: On January 26, 2012, 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.
F2: 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 26, 2011. 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 granted on January 27, 2010. 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 granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.
F5: The amount held was corrected to report the total beneficial holding of the reporting person.
F6: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.