SEC Form 4 · accession 0000927628-17-000273
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann F Hackett
Director
Period of report
Oct 25, 2017
Accepted (ET)
Oct 27, 2017 · 4:24 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 | Oct 25, 2017 | M | 11,055 | $47.29 | A | 69,066 | D | |
| Common StockF1,F2 | Oct 25, 2017 | S | 11,055 | $91.18 | D | 58,011 | D | |
| Common Stock | holding | — | — | — | 5,006 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $47.29 | Oct 25, 2017 | M | 11,055 | D | Apr 24, 2009 | Apr 23, 2018 | Common Stock | 11,055 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 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 $91.10 to $92.00. Information regarding the number of shares sold at each price will be provided upon request.