SEC Form 4 · accession 0001225208-16-041701

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

Nov 9, 2016

Accepted (ET)

Nov 14, 2016 · 6:10 pm EST

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	Nov 9, 2016	M	216,751	$76.45	A	2,809,767	D
Common Stock^F1	Nov 9, 2016	M	145,231	$50.99	A	2,954,998	D
Common Stock^F1,F2	Nov 9, 2016	S	145,231	$75.09	D	2,809,767	D
Common Stock^F1,F3	Nov 9, 2016	S	216,751	$76.57	D	2,593,016	D
Common Stock^F1	Nov 10, 2016	M	378,100	$76.45	A	2,971,116	D
Common Stock^F1,F4	Nov 10, 2016	S	44,778	$79.20	D	2,926,338	D
Common Stock^F1,F5	Nov 10, 2016	S	77,025	$77.46	D	2,849,313	D
Common Stock^F1,F6	Nov 10, 2016	S	256,297	$78.47	D	2,593,016	D
Common Stock^F1	Nov 11, 2016	M	132,942	$50.99	A	2,725,958	D
Common Stock^F1,F7	Nov 11, 2016	S	132,942	$80.10	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 Options^F1,F8	$50.99	Nov 9, 2016	M	145,231	D	—	Dec 9, 2017	Common Stock	145,231	1,246,335	D
Stock Options^F1,F9	$76.45	Nov 9, 2016	M	216,751	D	—	Dec 10, 2016	Common Stock	216,751	378,100	D
Stock Options^F1,F9	$76.45	Nov 10, 2016	M	378,100	D	—	Dec 10, 2016	Common Stock	378,100	0	D
Stock Options^F1,F8	$50.99	Nov 11, 2016	M	132,942	D	—	Dec 9, 2017	Common Stock	132,942	1,113,393	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 $75.00 to $75.30. Information regarding the number of shares sold at each price will be provided upon request.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.55 to $76.63. 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 $79.01 to $79.66. Information regarding the number of shares sold at each price will be provided upon request.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.09 to $78.00. Information regarding the number of shares sold at each price will be provided upon request.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.01 to $79.00. Information regarding the number of shares sold at each price will be provided upon request.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.46. Information regarding the number of shares sold at each price will be provided upon request.
F8The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.
F9The grant became exercisable in full on December 11, 2011, the fifth anniversary of the grant date.