SEC Form 4 · accession 0001225208-16-040864

CAPITAL ONE FINANCIAL CORP · COF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chair, CEO and President · Director

Period of report

Oct 27, 2016

Accepted (ET)

Oct 31, 2016 · 4:38 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
Common Stock^F1,F2	Oct 27, 2016	M	259,114	$50.99	A	2,852,130	D
Common Stock^F1,F3	Oct 27, 2016	S	259,114	$75.16	D	2,593,016	D
Common Stock^F1	Oct 28, 2016	M	6,800	$50.99	A	2,599,816	D
Common Stock^F1,F4	Oct 28, 2016	S	6,800	$75.03	D	2,593,016	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1,F5	$50.99	Oct 27, 2016	M	259,114	D	—	Dec 9, 2017	Common Stock	259,114	1,402,666	D
Stock Options^F1,F5	$50.99	Oct 28, 2016	M	6,800	D	—	Dec 9, 2017	Common Stock	6,800	1,395,866	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 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 Dividend Reinvestment Plan since the last reported transaction.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.83. Information regarding the number of shares sold at each price will be provided upon request.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.09. Information regarding the number of shares sold at each price will be provided upon request.
F5This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.