SEC Form 4 · accession 0001225208-15-004251
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin S. Borgmann
Officer — Chief Risk Officer
Period of report
Feb 12, 2015
Accepted (ET)
Feb 17, 2015 · 4:31 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 | Feb 12, 2015 | M | 2,060 | $78.71 | A | 41,932 | D | |
| Common StockF1 | Feb 12, 2015 | S | 2,060 | $78.72 | D | 39,872 | 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,F2 | $78.71 | Feb 12, 2015 | M | 2,060 | D | — | Mar 14, 2015 | Common Stock | 2,060 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This option became exercisable in 1/3 increments beginning on March 15, 2006 and annually thereafter.