COF

SEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,616

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,616

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,616

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021680 · doc4.xml · derivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,776 shares

Expires 2013-12-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021680 · doc4.xml · derivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,024

Underlying: Common Stock · 6,900 shares

Expires 2013-12-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.

SEC source: 0001225208-12-021680 · doc4.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,372

Underlying: Common Stock · 16,370 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

SEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,562

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,608

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $60 to $60.01. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,477

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,701

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,801

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-024584 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,312

SEC source: 0001225208-12-019941 · doc4.xml · derivative · entry 6

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2013-07-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on July 29, 2004 and annually thereafter.

SEC source: 0001225208-12-019941 · doc4.xml · derivative · entry 5

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,910

Underlying: Common Stock · 53,910 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

SEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 4

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,239

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: These shares were sold at prices ranging from $58.85 to $59.05. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,239

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $58.89 to $59.05. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,239

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-019756 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,848

Underlying: Common Stock · 5,000 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

SEC source: 0001225208-12-019756 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,616

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0001225208-12-019756 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,616

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-019756 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,802

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001181431-12-049653 · rrd355705.xml · nonDerivative · entry 1

ING GROEP NV · CIK 0001039765 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802,639

F1 · shares: On September 10, 2012, ING Bank N.V., a wholly owned subsidiary of ING Groep N.V., sold an aggregate of 54,028,086 shares of common stock of Capital One Financial Corporation in an underwritten public offering pursuant to the Underwriting Agreement, dated September 4, 2012 (the "Underwriting Agreement"), among Merrill Lynch, Pierce, Fenner & Smith Incorporated, as representatives of the underwriters listed in Schedule I thereto, Capital One Financial Corporation and ING Bank N.V. Pursuant to the Underwriting Agreement, ING Bank N.V. sold such 54,028,086 shares of Common Stock to the Underwriters at a price of $55.2482 per share of Common Stock.

F2 · balance_after: These shares are held by indirect subsidiaries of ING Groep N.V. in their role as a discretionary manager of client portfolios. Certain of these shares may be managed by third-party sub-managers over which ING Groep N.V. and its subsidiaries do not have the ability to either direct the vote or the disposition of such shares. ING Groep N.V. disclaims beneficial ownership of such shares.

SEC source: 0001225208-12-018714 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,742

Underlying: Common Stock · 10,000 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

SEC source: 0001225208-12-018714 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,305

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $56.48 to $56.89. Information regarding the number of shares sold at each price will be provided upon request.

F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0001225208-12-018714 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,691

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Catherine A. Cotter 2012 Trust

Disclosed balance after: 0

SEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Catherine A. Cotter 2012 Trust

Disclosed balance after: 90,635

F2 · shares: These shares were contributed to the Catherine A. Cotter 2012 Trust of which the reporting person's spouse is a trustee.

SEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 90,635

F1 · shares: These shares were gifted to the reporting person's spouse.

SEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,290

SEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,925

SEC source: 0001181431-12-042018 · rrd351669.xml · nonDerivative · entry 1

ING GROEP NV · CIK 0001039765 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,830,725

F1 · shares: 39,948 shares of Capital One Financial Corporation were purchased in a rebalancing transaction for the account of ING Corporate Leaders 100 Fund, a registered investment company, which is managed by ING Investments LLC, a wholly-owned indirect subsidiary of ING Groep N.V.

F2 · price: These shares were purchased at prices ranging from $54.80 to $54.86 per share. Upon request by SEC staff, the issuer or any security holder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001225208-12-011843 · doc4.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,454

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013

SEC source: 0001225208-12-011842 · doc4.xml · derivative · entry 2

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,709

Underlying: Common Stock · 7,709 shares

Expires 2022-05-07

SEC source: 0001225208-12-011842 · doc4.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,145

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013

SEC source: 0001225208-12-011844 · doc4.xml · derivative · entry 3

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,410

Underlying: Common Stock · 8,410 shares

Expires 2022-05-07

SEC source: 0001225208-12-011844 · doc4.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,476

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-011845 · doc4.xml · derivative · entry 2

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,111

Underlying: Common Stock · 9,111 shares

Expires 2022-05-07

SEC source: 0001225208-12-011845 · doc4.xml · nonDerivative · entry 1

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,093

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-011846 · doc4.xml · derivative · entry 2

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,709

Underlying: Common Stock · 7,709 shares

Expires 2022-05-07

SEC source: 0001225208-12-011846 · doc4.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,143

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-011847 · doc4.xml · derivative · entry 3

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,410

Underlying: Common Stock · 8,410 shares

Expires 2022-05-07

SEC source: 0001225208-12-011847 · doc4.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,278

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-011848 · doc4.xml · nonDerivative · entry 1

DIETZ W RONALD · CIK 0001238031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,805

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-011849 · doc4.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,204

F1 · security: Restricted Stock Units which vest in their entirety on May 8, 2013.

SEC source: 0001225208-12-008407 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2012-12-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 33 1/3 increments beginning on December 6, 2003 and annually thereafter.

SEC source: 0001225208-12-008407 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,798

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-008407 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,798

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-008407 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,798

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-12-008093 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,798

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.