SEC Form 4 · accession 0001225208-15-011496
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick W Gross
Director
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 5:46 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 4, 2015 | M | 3,800 | $74.16 | A | 49,199 | D | |
| Common StockF1 | May 4, 2015 | S | 3,800 | $82.00 | D | 45,399 | 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 | $74.16 | May 4, 2015 | M | 3,800 | D | — | May 31, 2015 | Common Stock | 3,800 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This option became exercisable on May 31, 2006, the first anniversary date of the grant.