SEC Form 4 · accession 0000927628-18-000022
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G Finneran Jr.
Officer — Gen. Counsel & Corp. Secretary
Period of report
Jan 29, 2018
Accepted (ET)
Jan 31, 2018 · 4:25 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 29, 2018 | S | 15,764 | $105.17 | D | 0 | I | Finneran/Cotter Children's Trust |
| Common StockF2 | Jan 29, 2018 | S | 48,528 | $104.95 | D | 3,600 | I | By GRAT |
| Common StockF3 | Jan 29, 2018 | S | 3,600 | $105.55 | D | 0 | I | By GRAT |
| Common Stock | holding | — | — | — | 96,551 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.02 to $105.35. Information regarding the number of shares sold at each price will be provided upon request.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.46 to $105.45. 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 $105.46 to $105.73. Information regarding the number of shares sold at each price will be provided upon request.