SEC Form 4 · accession 0001225208-15-014341
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G Finneran Jr.
Officer — Gen. Counsel & Corp. Secretary
Period of report
Jun 25, 2015
Accepted (ET)
Jun 29, 2015 · 4:19 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 25, 2015 | M | 7,140 | $88.81 | A | 129,192 | D | |
| Common StockF1 | Jun 25, 2015 | S | 7,140 | $90.00 | D | 122,052 | D | |
| Common Stock | holding | — | — | — | 33,221 | I | By Spouse | |
| Common Stock | holding | — | — | — | 31,683 | I | Finneran/Cotter Children's Trust |
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 | $88.81 | Jun 25, 2015 | M | 7,140 | D | — | Mar 2, 2016 | Common Stock | 7,140 | 56,510 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 6, 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 March 3, 2007 and annually thereafter.