SEC Form 4 · accession 0000927628-17-000123
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
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 4:07 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,F2 | Mar 2, 2017 | M | 18,990 | $48.95 | A | 98,829 | D | |
| Common StockF1,F3 | Mar 2, 2017 | S | 20,360 | $95.32 | D | 78,469 | D | |
| Common StockF1 | Mar 2, 2017 | S | 815 | $96.21 | D | 77,654 | D | |
| Common Stock | holding | — | — | — | 15 | I | By Trust |
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 | $48.95 | Mar 2, 2017 | M | 18,990 | D | — | Feb 20, 2018 | Common Stock | 18,990 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.96. 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 February 21, 2009 and annually thereafter.