SEC Form 4 · accession 0000927628-18-000210
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
May 8, 2018
Accepted (ET)
May 10, 2018 · 6:50 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 | May 8, 2018 | M | 511 | $18.28 | A | 2,769,649 | D | |
| Common StockF1 | May 8, 2018 | S | 511 | $95.00 | 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 OptionsF2 | $18.28 | May 8, 2018 | M | 511 | D | — | Jan 28, 2019 | Common Stock | 511 | 242,090 | 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.
- F2This grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.