SEC Form 4 · accession 0000927628-17-000011
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Fairbank
Officer — Chair, CEO and President · Director
Period of report
Jan 26, 2017
Accepted (ET)
Jan 30, 2017 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927628
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 26, 2017 | M | 300,000 | $50.99 | A | 2,893,021 | D | |
| Common StockF1,F3 | Jan 26, 2017 | S | 146,229 | $88.55 | D | 2,746,792 | D | |
| Common StockF1,F4 | Jan 26, 2017 | S | 153,771 | $89.26 | D | 2,593,021 | D | |
| Common StockF1 | Jan 27, 2017 | M | 300,000 | $50.99 | A | 2,893,021 | D | |
| Common StockF1,F5 | Jan 27, 2017 | S | 296,800 | $89.31 | D | 2,596,221 | D | |
| Common StockF1 | Jan 27, 2017 | S | 3,200 | $89.96 | D | 2,593,021 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F6 | $50.99 | Jan 26, 2017 | M | 300,000 | D | — | Dec 9, 2017 | Common Stock | 300,000 | 813,393 | D |
| Stock OptionsF1,F6 | $50.99 | Jan 27, 2017 | M | 300,000 | D | — | Dec 9, 2017 | Common Stock | 300,000 | 513,393 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.86 to $88.85. Information regarding the number of shares sold at each price will be provided upon request.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.86 to $89.70. Information regarding the number of shares sold at each price will be provided upon request.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.94 to $89.82. Information regarding the number of shares sold at each price will be provided upon request.
- F6The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.