SEC Form 4 · accession 0000927628-17-000021
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Wassmer
Officer — President, U.S. Card
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 | 8,750 | $76.79 | A | 75,689 | D | |
| Common Stock | Feb 1, 2017 | S | 8,750 | $88.10 | D | 66,939 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $76.79 | Feb 1, 2017 | M | 8,750 | D | — | Mar 1, 2017 | Common Stock | 8,750 | 0 | D |
Explanation of responses
- F1Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F2This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.