SEC Form 4 · accession 0000927628-18-000168
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Fairbank
Officer — Chairman, CEO and President · Director
Period of report
Apr 25, 2018
Accepted (ET)
Apr 27, 2018 · 5:00 pm EDT
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 | Apr 25, 2018 | M | 242,600 | $18.28 | A | 3,011,738 | D | |
| Common StockF1,F2 | Apr 25, 2018 | S | 52,963 | $94.37 | D | 2,958,775 | D | |
| Common StockF1,F3 | Apr 25, 2018 | S | 51,950 | $93.47 | D | 2,906,825 | D | |
| Common StockF1,F4 | Apr 25, 2018 | S | 131,837 | $92.56 | D | 2,774,988 | D | |
| Common StockF1,F5 | Apr 25, 2018 | S | 5,850 | $91.90 | D | 2,769,138 | 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,F6 | $18.28 | Apr 25, 2018 | M | 242,600 | D | — | Jan 28, 2019 | Common Stock | 242,600 | 242,601 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.05 to $95.03. 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 $93.06 to $94.04. 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 $92.06 to $93.05. 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 $91.70 to $92.05. Information regarding the number of shares sold at each price will be provided upon request.
- F6The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.