SEC Form 4 · accession 0000927628-18-000004
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradford H Warner
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 5:18 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 | Jan 2, 2018 | M | 3,000 | $16.93 | A | 53,085 | D | |
| Common StockF1,F2 | Jan 2, 2018 | S | 2,800 | $99.42 | D | 50,285 | D | |
| Common StockF1 | Jan 2, 2018 | S | 200 | $100.08 | D | 50,085 | D | |
| Common Stock | holding | — | — | — | 140 | I | By Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $16.93 | Jan 2, 2018 | M | 3,000 | D | Apr 23, 2010 | Apr 22, 2019 | Common Stock | 3,000 | 7,229 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.04 to $99.93. Information regarding the number of shares sold at each price will be provided upon request.