SEC Form 4 · accession 0001225208-15-013821
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
Jun 10, 2015
Accepted (ET)
Jun 12, 2015 · 4:08 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 | Jun 10, 2015 | M | 21,600 | $48.95 | A | 177,358 | D | |
| Common StockF1 | Jun 10, 2015 | S | 21,600 | $86.00 | D | 155,758 | 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,F3 | $48.95 | Jun 10, 2015 | M | 21,600 | D | — | Feb 20, 2018 | Common Stock | 21,600 | 100 | 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.
- F3This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.