SEC Form 4 · accession 0000927628-18-000012
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Slocum
Officer — President, Commercial Banking
Period of report
Jan 12, 2018
Accepted (ET)
Jan 17, 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 12, 2018 | M | 27,818 | $56.32 | A | 73,392 | D | |
| Common StockF1 | Jan 12, 2018 | S | 27,818 | $105.00 | D | 45,574 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F2 | $56.32 | Jan 12, 2018 | M | 27,818 | D | — | Jan 30, 2023 | Common Stock | 27,818 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.