SEC Form 4 · accession 0000927628-17-000309
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jory A Berson
Officer — Chief Human Resources Officer
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 8:26 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,F2 | Dec 4, 2017 | M | 37,670 | $45.75 | A | 137,445 | D | |
| Common StockF1,F3 | Dec 4, 2017 | S | 31,422 | $95.04 | D | 106,023 | D | |
| Common StockF1,F4 | Dec 4, 2017 | S | 18,721 | $94.97 | D | 87,302 | D | |
| Common StockF1,F5 | Dec 4, 2017 | S | 16,347 | $95.04 | D | 70,955 | D | |
| Common StockF6 | holding | — | — | — | 6,719 | I | By 401(k) |
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 | $45.75 | Dec 4, 2017 | M | 37,670 | D | — | Jan 30, 2022 | Common Stock | 37,670 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, 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 Associate Stock Purchase 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 $94.24 to $95.20. 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 $94.22 to $95.11. 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 $94.28 to $95.11. Information regarding the number of shares sold at each price will be provided upon request.
- F6Represents 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.
- F7This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.