SEC Form 4 · accession 0000927628-17-000240
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Fairbank
Officer — Chair, CEO and President · Director
Period of report
Jul 25, 2017
Accepted (ET)
Jul 27, 2017 · 6:00 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 StockF1,F2 | Jul 25, 2017 | M | 300,000 | $50.99 | A | 2,980,556 | D | |
| Common StockF1,F3 | Jul 25, 2017 | S | 281,712 | $87.15 | D | 2,698,844 | D | |
| Common StockF1,F4 | Jul 25, 2017 | S | 18,288 | $87.80 | D | 2,680,556 | D | |
| Common StockF1 | Jul 26, 2017 | M | 67,419 | $50.99 | A | 2,747,975 | D | |
| Common StockF1,F5 | Jul 26, 2017 | S | 60,537 | $86.20 | D | 2,687,438 | D | |
| Common StockF1,F6 | Jul 26, 2017 | S | 6,882 | $86.87 | D | 2,680,556 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F7 | $50.99 | Jul 25, 2017 | M | 300,000 | D | — | Dec 9, 2017 | Common Stock | 300,000 | 67,419 | D |
| Stock OptionsF1,F7 | $50.99 | Jul 26, 2017 | M | 67,419 | D | — | Dec 9, 2017 | Common Stock | 67,419 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, 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 Dividend Reinvestment 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 $86.69 to $87.67. Information regarding the number of shares sold at each price will be provided upon request.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.68 to $88.15. Information regarding the number of shares sold at each price will be provided upon request.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.63 to $86.63. Information regarding the number of shares sold at each price will be provided upon request.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.63 to $87.21. Information regarding the number of shares sold at each price will be provided upon request.
- F7The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.