SEC Form 4 · accession 0000927628-17-000275
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mayo A Shattuck III
Director
Period of report
Oct 27, 2017
Accepted (ET)
Oct 31, 2017 · 4:46 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 | Oct 27, 2017 | M | 15,663 | $16.93 | A | 59,613 | D | |
| Common Stock | Oct 27, 2017 | M | 8,504 | $47.29 | A | 68,117 | D | |
| Common StockF1 | Oct 27, 2017 | S | 24,167 | $92.71 | D | 43,950 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $16.93 | Oct 27, 2017 | M | 15,663 | D | Apr 23, 2010 | Apr 22, 2019 | Common Stock | 15,663 | 0 | D |
| Stock Options | $47.29 | Oct 27, 2017 | M | 8,504 | D | Apr 24, 2009 | Apr 23, 2018 | Common Stock | 8,504 | 0 | 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 $92.60 to $92.90. Information regarding the number of shares sold at each price will be provided upon request.