SEC Form 4 · accession 0001225208-15-011742
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pierre E Leroy
Director
Period of report
May 6, 2015
Accepted (ET)
May 8, 2015 · 4:03 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 Stock | May 6, 2015 | M | 10,205 | $47.29 | A | 51,965 | D | |
| Common Stock | May 6, 2015 | M | 8,484 | $44.87 | A | 60,449 | D | |
| Common StockF1 | May 6, 2015 | S | 8,484 | $82.88 | D | 51,965 | D | |
| Common StockF1 | May 6, 2015 | S | 10,205 | $82.88 | D | 41,760 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $47.29 | May 6, 2015 | M | 10,205 | D | Apr 24, 2009 | Apr 23, 2018 | Common Stock | 10,205 | 0 | D |
| Stock Options | $44.87 | May 6, 2015 | M | 8,484 | D | Apr 29, 2011 | Apr 28, 2020 | Common Stock | 8,484 | 0 | D |
Explanation of responses
- F1These shares were sold at prices ranging from $82.87 to $82.89. Information regarding the number of shares sold at each price will be provided upon request.