SEC Form 4 · accession 0000927628-18-000109
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kleber Santos
Officer — Pres., Retail & Direct Banking
Period of report
Feb 22, 2018
Accepted (ET)
Feb 26, 2018 · 4:29 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,F2 | Feb 22, 2018 | S | 5,607 | $97.74 | D | 15,894 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 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 $97.43 to $98.24. Information regarding the number of shares sold at each price will be provided upon request.