SEC Form 4 · accession 0000927628-17-000074
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mayo A Shattuck III
Director
Period of report
Feb 7, 2017
Accepted (ET)
Feb 9, 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 Stock | Feb 7, 2017 | M | 3,415 | $74.72 | A | 45,304 | D | |
| Common Stock | Feb 7, 2017 | S | 3,415 | $87.25 | D | 41,889 | 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 | Feb 7, 2017 | M | 3,415 | D | Apr 26, 2008 | Apr 25, 2017 | Common Stock | 3,415 | 0 | D |