SEC Form 4 · accession 0001225208-16-041807
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
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 6:30 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | G | 1,400 | $0.00 | D | 140,816 | D | |
| Common StockF1 | Nov 11, 2016 | M | 88,510 | $76.79 | A | 229,326 | D | |
| Common StockF1 | Nov 11, 2016 | S | 88,510 | $80.85 | D | 140,816 | D | |
| 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 | $76.79 | Nov 11, 2016 | M | 88,510 | D | — | Mar 1, 2017 | Common Stock | 88,510 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2016, 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 2, 2008 and annually thereafter.