SEC Form 4 · accession 0000927628-18-000020

CAPITAL ONE FINANCIAL CORP · COF

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

Reporting owner

Richard D Fairbank

Officer — Chair, CEO and President · Director

Period of report

Jan 24, 2018

Accepted (ET)

Jan 26, 2018 · 5:52 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
Common Stock^F1,F2	Jan 24, 2018	M	300,000	$18.28	A	2,978,270	D
Common Stock^F1,F3	Jan 24, 2018	S	24,035	$104.71	D	2,954,235	D
Common Stock^F1,F4	Jan 24, 2018	S	272,942	$105.44	D	2,681,293	D
Common Stock^F1,F5	Jan 24, 2018	S	3,023	$106.09	D	2,678,270	D
Common Stock^F1	Jan 25, 2018	M	185,202	$18.28	A	2,863,472	D
Common Stock^F1,F6	Jan 25, 2018	S	111,873	$104.22	D	2,751,599	D
Common Stock^F1,F7	Jan 25, 2018	S	73,129	$105.20	D	2,678,470	D
Common Stock^F1	Jan 25, 2018	S	200	$105.83	D	2,678,270	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1,F8	$18.28	Jan 24, 2018	M	300,000	D	—	Jan 28, 2019	Common Stock	300,000	670,403	D
Stock Options^F1,F8	$18.28	Jan 25, 2018	M	185,202	D	—	Jan 28, 2019	Common Stock	185,202	485,201	D

Explanation of responses

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.04 to $105.03. Information regarding the number of shares sold at each price will be provided upon request.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.04 to $106.02. Information regarding the number of shares sold at each price will be provided upon request.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.04 to $106.27. Information regarding the number of shares sold at each price will be provided upon request.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.72 to $104.70. Information regarding the number of shares sold at each price will be provided upon request.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.72 to $105.64. Information regarding the number of shares sold at each price will be provided upon request.
F8The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.