SEC Form 4 · accession 0001225208-16-041011
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Fairbank
Officer — Chair, CEO and President · Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 4:53 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 | Oct 31, 2016 | M | 4,300 | $50.99 | A | 2,597,316 | D | |
| Common StockF1,F2 | Oct 31, 2016 | S | 4,300 | $75.12 | D | 2,593,016 | 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 | $50.99 | Oct 31, 2016 | M | 4,300 | D | — | Dec 9, 2017 | Common Stock | 4,300 | 1,391,566 | D |
Explanation of responses
- 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.01 to $75.13. Information regarding the number of shares sold at each price with be provided upon request.
- F3This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.