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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
2014 Restricted Stock Units | $ 0 (1) | 02/15/2017 | M | 3,607 | (6) | (6) | Common Stock | 3,607 | $ 0 (1) | 0 | D | ||||
2015 Restricted Stock Units | $ 0 (1) | 02/15/2017 | M | 3,334 | (7) | (7) | Common Stock | 3,334 | $ 0 (1) | 3,333 | D | ||||
2016 Restricted Stock Units | $ 0 (1) | 02/15/2017 | M | 2,894 | (8) | (8) | Common Stock | 2,894 | $ 0 (1) | 5,788 | D | ||||
Restricted Stock Units | $ 0 (2) | 02/15/2017 | M | 9,729 | 02/15/2017(2) | 02/15/2017(2) | Common Stock | 9,729 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN, VA 22102 |
Chief Information Officer |
Cleo Belmonte (POA on file) | 02/17/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On February 15, 2017 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. |
(2) | Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. |
(3) | 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 30, 2014. This is authorized in the applicable restricted stock award agreement. |
(4) | 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 29, 2015. This is authorized in the applicable restricted stock award agreement. |
(5) | 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. |
(6) | These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. |
(7) | These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. |
(8) | These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. |