1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to Buy)
(3)
|
11/16/2005 |
01/28/2012 |
Common Stock
|
11,850
|
$
47.35
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
11/16/2005 |
01/27/2013 |
Common Stock
|
28,440
|
$
48.86
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
11/16/2005 |
01/26/2014 |
Common Stock
|
49,296
|
$
61.27
|
D
|
Â
|
Employee Stock Optioni (Right to Buy)
(3)
|
11/16/2005 |
01/24/2015 |
Common Stock
|
49,296
|
$
69.49
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Pursuant to the Agreement and Plan of Merger, dated as of March 6, 2005, as amended by Amendment No.1, dated as of September 6, 2005 (the ''Merger Agreement''), between Capital One Financial Corporation (''Capital One'') and Hibernia Corporation (''Hibernia''), at the effective time of the merger on November 16, 2005, each outstanding share of Hibernia common stock was converted into the right to receive either .3792 shares of Capital One common stock or $30.46 in cash, at each stockholder's election and subject to proration as described in the Merger Agreeement. The amounts of Capital One common stock disclosed were received by the reporting person in consideration for his Hibernia common stock holdings, according to the proration calculations completed on November 23, 2005 and disclosed in the final results of elections regarding merger consideration filed by Capital One on Form 8-K on the same date. |
(2) |
Represents the number of shares beneficially owned by the reporting person through his Hibernia Employee Stock Ownership Plan (''ESOP'') account held by such plan's record keeper for Capital One. |
(3) |
Pursuant to the Merger Agreement, at the effective time of the merger on November 16, 2005, each outstanding option to purchase Hibernia common stock was converted into an option to purchase Capital One common stock on substantially the same terms, except that the number of options was adjusted by multiplying the number of Hibernia options by .3792 and the exercise price was adjusted by dividing the Hibernia exercise price by .3792. |