SEC Form 4 · accession 0001225208-15-015048
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan W. Witter
Officer — President, Retail Banking
Period of report
Jul 1, 2015
Accepted (ET)
Jul 2, 2015 · 4:42 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,F3 | Jul 1, 2015 | S | 10,373 | $88.56 | D | 96,508 | D | |
| Common StockF1,F4 | Jul 1, 2015 | S | 28,885 | $88.55 | D | 67,623 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 7, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2These shares were sold at prices ranging from $88.19 to $89.01. Information regarding the number of shares sold at each price will be provided upon request.
- F3Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F4These shares were sold at prices ranging from $88.20 to $89.01. Information regarding the number of shares sold at each price will be provided upon request.