SEC Form 4 · accession 0001225208-15-013865
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M. Alexander
Officer — Chief Information Officer
Period of report
Jun 11, 2015
Accepted (ET)
Jun 15, 2015 · 4:25 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 | Jun 11, 2015 | M | 9,767 | $45.75 | A | 102,519 | D | |
| Common StockF1 | Jun 11, 2015 | S | 4,005 | $87.74 | D | 98,514 | D | |
| Common StockF1 | Jun 11, 2015 | S | 8,594 | $87.74 | D | 89,920 | D | |
| Common Stock | holding | — | — | — | 2 | I | Robert M. Alexander UGMA | |
| Common Stock | holding | — | — | — | 100 | I | The Alexander Fund |
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 | $45.75 | Jun 11, 2015 | M | 9,767 | D | — | Jan 30, 2022 | Common Stock | 9,767 | 19,537 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.