SEC Form 4 · accession 0000927628-18-000006
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann F Hackett
Director
Period of report
Jan 4, 2018
Accepted (ET)
Jan 8, 2018 · 4:10 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 4, 2018 | M | 6,361 | $16.93 | A | 64,372 | D | |
| Common StockF1 | Jan 4, 2018 | S | 6,361 | $102.00 | D | 58,011 | D | |
| Common Stock | holding | — | — | — | 5,006 | I | By Spouse |
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 4, 2018 | M | 6,361 | D | Apr 23, 2010 | Apr 22, 2019 | Common Stock | 6,361 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.