SEC Form 4 · accession 0000927628-17-000152

CAPITAL ONE FINANCIAL CORP · COF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Human Resources Officer

Period of report

Mar 13, 2017

Accepted (ET)

Mar 15, 2017 · 5:31 pm EDT

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^F1	Mar 13, 2017	M	57,457	$48.28	A	162,542	D
Common Stock^F1,F2	Mar 13, 2017	S	48,963	$92.08	D	113,579	D
Common Stock^F1,F3	Mar 13, 2017	S	14,599	$92.07	D	98,980	D
Common Stock^F4	holding	—	—		—	6,624	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1,F5	$48.28	Mar 13, 2017	M	57,457	D	—	Jan 25, 2021	Common Stock	57,457	0	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.67 to $92.38. Information regarding the number of shares sold at each price will be provided upon request.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.65 to $92.38. Information regarding the number of shares sold at each price will be provided upon request.
F4Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
F5This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.