SEC Form 4 · accession 0001225208-15-013214
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan M. Schneider
Officer — President, Card
Period of report
May 29, 2015
Accepted (ET)
Jun 2, 2015 · 6:53 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,F2 | May 29, 2015 | M | 48,678 | $45.75 | A | 257,893 | D | |
| Common StockF1 | May 29, 2015 | M | 37,700 | $48.95 | A | 295,593 | D | |
| Common StockF1,F3 | May 29, 2015 | S | 900 | $84.46 | D | 294,693 | D | |
| Common StockF1,F3 | May 29, 2015 | S | 1,500 | $84.49 | D | 293,193 | D | |
| Common StockF1,F4 | May 29, 2015 | S | 2,100 | $84.48 | D | 291,093 | D | |
| Common StockF1,F5 | May 29, 2015 | S | 36,800 | $83.90 | D | 254,293 | D | |
| Common StockF1,F6 | May 29, 2015 | S | 42,406 | $83.73 | D | 211,887 | D | |
| Common StockF1,F7 | May 29, 2015 | S | 56,408 | $83.73 | D | 155,479 | D | |
| Common StockF1 | Jun 1, 2015 | M | 4,300 | $48.95 | A | 159,779 | D | |
| Common StockF1 | Jun 1, 2015 | S | 4,300 | $84.00 | D | 155,479 | 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,F8 | $45.75 | May 29, 2015 | M | 48,678 | D | — | Jan 30, 2022 | Common Stock | 48,678 | 0 | D |
| Stock OptionsF1,F9 | $48.95 | May 29, 2015 | M | 37,700 | D | — | Feb 20, 2018 | Common Stock | 37,700 | 26,000 | D |
| Stock OptionsF1,F9 | $48.95 | Jun 1, 2015 | M | 4,300 | D | — | Feb 20, 2018 | Common Stock | 4,300 | 21,700 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F3These shares were sold at prices ranging from $84.33 to $84.51. Information regarding the number of shares sold at each price will be provided upon request.
- F4These shares were sold at prices ranging from $84.36 to $84.51. Information regarding the number of shares sold at each price will be provided upon request.
- F5These shares were sold at prices ranging from $83.33 to $84.29. Information regarding the number of shares sold at each price will be provided upon request.
- F6These shares were sold at prices ranging from $83.33 to $84.30. Information regarding the number of shares sold at each price will be provided upon request.
- F7These shares were sold at prices ranging from $83.33 to $84.24. Information regarding the number of shares sold at each price will be provided upon request.
- F8The option became exercisable in 1/3 increments beginning on February 10, 2013.
- F9The option became exercisable in 1/3 increments beginning on February 21, 2009.