SEC Form 4 · accession 0000927628-17-000081
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Noelle K Eder
Officer — Chief Card Cust. Exp. Officer
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 4:29 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 14, 2017 | M | 30,993 | $82.08 | A | 71,772 | D | |
| Common StockF1 | Feb 14, 2017 | S | 15,496 | $89.25 | D | 56,276 | D | |
| Common StockF2 | Feb 14, 2017 | S | 15,497 | $90.15 | D | 40,779 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $82.08 | Feb 14, 2017 | M | 30,993 | D | — | Sep 7, 2024 | Common Stock | 30,993 | 15,498 | 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 $89.24 to $89.30. Information regarding the number of shares sold at each price will be provided upon request.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.10 to $90.30. Information regarding the number of shares sold at each price will be provided upon request.
- F3This option became exercisable in 1/3 increments beginning on September 8, 2015 and annually thereafter.