SEC Form 4 · accession 0000927628-18-000003

CAPITAL ONE FINANCIAL CORP · COF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Gen. Counsel & Corp. Secretary

Period of report

Jan 2, 2018

Accepted (ET)

Jan 4, 2018 · 5:17 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 Stock^F1	Jan 2, 2018	M	56,624	$48.28	A	144,280	D
Common Stock^F1,F2	Jan 2, 2018	S	45,700	$99.19	D	98,580	D
Common Stock^F1,F3	Jan 2, 2018	S	2,029	$100.02	D	96,551	D
Common Stock	holding	—	—		—	15,764	I	Finneran/Cotter Children's Trust
Common Stock	holding	—	—		—	52,128	I	By GRAT

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1,F4	$48.28	Jan 2, 2018	M	56,624	D	—	Jan 25, 2021	Common Stock	56,624	0	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 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 $98.84 to $99.72. Information regarding the number of shares sold at each price will be provided upon request.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.88 to $100.15. Information regarding the number of shares sold at each price will be provided upon request.
F4This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.