SEC Form 4 · accession 0000927628-17-000295
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M. Alexander
Officer — Chief Information Officer
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 5:05 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 | Dec 1, 2017 | S | 5,000 | $92.18 | D | 89,603 | D | |
| Common StockF2 | Dec 4, 2017 | M | 63,740 | $48.95 | A | 153,343 | D | |
| Common StockF2 | Dec 4, 2017 | S | 63,740 | $94.74 | D | 89,603 | D | |
| Common StockF1 | Dec 4, 2017 | S | 6,357 | $96.00 | D | 83,246 | D | |
| Common StockF1 | Dec 4, 2017 | S | 6,257 | $94.70 | D | 76,989 | D | |
| Common Stock | holding | — | — | — | 2 | I | Robert M. Alexander UGMA | |
| Common Stock | holding | — | — | — | 100 | I | The Alexander Fund |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F3 | $48.95 | Dec 4, 2017 | M | 63,740 | D | — | Feb 20, 2018 | Common Stock | 63,740 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This 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.
- F3This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.