SEC Form 4 · accession 0000927628-17-000076
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick W Gross
Director
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 4:58 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 10, 2017 | M | 4,098 | $74.72 | A | 51,937 | D | |
| Common Stock | Feb 10, 2017 | M | 10,205 | $47.29 | A | 62,142 | D | |
| Common Stock | Feb 10, 2017 | M | 8,795 | $16.93 | A | 70,937 | D | |
| Common Stock | Feb 10, 2017 | M | 8,851 | $53.03 | A | 79,788 | D | |
| Common Stock | Feb 10, 2017 | M | 9,111 | $54.07 | A | 88,899 | D | |
| Common StockF1 | Feb 10, 2017 | S | 41,060 | $88.50 | D | 47,839 | 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 10, 2017 | M | 4,098 | D | Apr 26, 2008 | Apr 25, 2017 | Common Stock | 4,098 | 0 | D |
| Stock Options | $47.29 | Feb 10, 2017 | M | 10,205 | D | Apr 24, 2009 | Apr 23, 2018 | Common Stock | 10,205 | 0 | D |
| Stock Options | $16.93 | Feb 10, 2017 | M | 8,795 | D | Apr 23, 2010 | Apr 22, 2019 | Common Stock | 8,795 | 0 | D |
| Stock Options | $53.03 | Feb 10, 2017 | M | 8,851 | D | May 11, 2012 | May 10, 2021 | Common Stock | 8,851 | 0 | D |
| Stock Options | $54.07 | Feb 10, 2017 | M | 9,111 | D | May 8, 2013 | May 7, 2022 | Common Stock | 9,111 | 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 $88.40 to $88.61. Information regarding the number of shares sold at each price will be provided upon request.