SEC Form 4 · accession 0000927628-17-000314
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank G. LaPrade,III
Officer — Chief Enterprise Srvcs Officer
Period of report
Dec 14, 2017
Accepted (ET)
Dec 18, 2017 · 4:35 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 14, 2017 | M | 31,178 | $45.75 | A | 97,346 | D | |
| Common StockF1 | Dec 14, 2017 | M | 34,126 | $48.28 | A | 131,472 | D | |
| Common StockF1 | Dec 14, 2017 | S | 83,046 | $95.00 | D | 48,426 | D | |
| Common StockF2 | holding | — | — | — | 721 | 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,F3 | $45.75 | Dec 14, 2017 | M | 31,178 | D | — | Jan 30, 2022 | Common Stock | 31,178 | 0 | D |
| Stock OptionsF1,F4 | $48.28 | Dec 14, 2017 | M | 34,126 | D | — | Jan 25, 2021 | Common Stock | 34,126 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Represents 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.
- F3This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.
- F4This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.