SEC Form 4 · accession 0000927628-18-000272
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin S. Borgmann
Officer — Senior Advisor to the CEO
Period of report
Jul 24, 2018
Accepted (ET)
Jul 25, 2018 · 5:22 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 | Jul 24, 2018 | M | 19,117 | $63.73 | A | 62,567 | D | |
| Common StockF1,F2 | Jul 24, 2018 | S | 19,117 | $100.00 | D | 43,450 | 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,F3 | $63.73 | Jul 24, 2018 | M | 19,117 | D | — | Feb 3, 2026 | Common Stock | 19,117 | 9,559 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 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 $100.00 to $100.03. Information regarding the number of shares sold at each price will be provided upon request.
- F3This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.