SEC Form 4 · accession 0000927628-17-000020
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin S. Borgmann
Officer — Chief Risk Officer
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:40 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 | Feb 1, 2017 | M | 9,140 | $76.79 | A | 65,097 | D | |
| Common StockF1 | Feb 1, 2017 | M | 20,400 | $48.95 | A | 85,497 | D | |
| Common StockF1,F2 | Feb 1, 2017 | S | 36,497 | $88.15 | D | 49,000 | D | |
| Common StockF1,F3 | Feb 1, 2017 | S | 2,800 | $88.80 | D | 46,200 | 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 | $76.79 | Feb 1, 2017 | M | 9,140 | D | — | Mar 1, 2017 | Common Stock | 9,140 | 0 | D |
| Stock OptionsF1,F5 | $48.95 | Feb 1, 2017 | M | 20,400 | D | — | Feb 20, 2018 | Common Stock | 20,400 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, 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 $87.68 to $88.66. 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 $88.70 to $88.94. Information regarding the number of shares sold at each price will be provided upon request.
- F4This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.
- F5This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.