SEC Form 4 · accession 0000927628-17-000015
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pierre E Leroy
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 Stock | Jan 30, 2017 | M | 4,098 | $74.72 | A | 48,298 | D | |
| Common StockF1 | Jan 30, 2017 | S | 8,998 | $88.09 | D | 39,300 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $74.72 | Jan 30, 2017 | M | 4,098 | D | Apr 26, 2008 | Apr 25, 2017 | Common Stock | 4,098 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.73 to $88.50. Information regarding the number of shares sold at each price will be provided upon request.