CAPITAL ONE FINANCIAL CORP — Director's Dealing 2018

Feb 5, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2018-02-01

Reporting Person: LaPrade,III Frank G. (Chief Enterprise Srvcs Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-01	Common Stock	A	12071	—	Acquired	60497	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-02-01	2018 Restricted Stock Units	$0.0	A	7019	Acquired		Common Stock (7019.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	720	Indirect

Footnotes

F1: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2: Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.

F3: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F4: This award is reported net of 239 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F5: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.