SEC Form 4 · accession 0000927628-17-000014
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 30, 2017
Accepted (ET)
Feb 1, 2017 · 4:25 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 | Jan 30, 2017 | M | 145,974 | $50.99 | A | 2,738,995 | D | |
| Common StockF1,F2 | Jan 30, 2017 | S | 105,849 | $88.06 | D | 2,633,146 | D | |
| Common StockF1,F3 | Jan 30, 2017 | S | 40,125 | $88.61 | 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,F4 | $50.99 | Jan 30, 2017 | M | 145,974 | D | — | Dec 9, 2017 | Common Stock | 145,974 | 367,419 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.43 to $88.42. Information regarding the number of shares sold at each price will be provided upon request.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.43 to $88.82. Information regarding the number of shares sold at each price will be provided upon request.
- F4The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.