SEC Form 4 · accession 0000927628-18-000233
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jory A Berson
Officer — Chief Human Resources Officer
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 4:53 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,F2,F3 | Jun 7, 2018 | S | 18,909 | $97.09 | D | 65,574 | D | |
| Common StockF4 | holding | — | — | — | 6,765 | I | By 401(k) |
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 May 8, 2018, 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 $96.77 to $97.57. Information regarding the number of shares sold at each price will be provided upon request.
- F3Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F4Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.