SEC Form 4 · accession 0001225208-15-007565
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank G. LaPrade,III
Officer — Chief Enterprise Srvcs Officer
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 4:32 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 | Mar 9, 2015 | M | 7,450 | $78.71 | A | 63,668 | D | |
| Common StockF1 | Mar 9, 2015 | S | 7,450 | $78.90 | D | 56,218 | D | |
| Common StockF2 | holding | — | — | — | 685 | I | By 401(k) |
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 | $78.71 | Mar 9, 2015 | M | 7,450 | D | — | Mar 14, 2015 | Common Stock | 7,450 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitilized plan, as of the date of the latest transaction.
- F3This option became exercisable in 1/3 increments beginning on March 15, 2006 and annually thereafter.