SEC Form 4 · accession 0001225208-16-042311
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jory A Berson
Officer — Chief Human Resources Officer
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 5:40 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 StockF1 | Nov 23, 2016 | M | 54,380 | $48.95 | A | 153,505 | D | |
| Common StockF1 | Nov 23, 2016 | M | 53,420 | $76.79 | A | 206,925 | D | |
| Common StockF1 | Nov 23, 2016 | S | 115,650 | $84.00 | D | 91,275 | D | |
| Common StockF2 | holding | — | — | — | 6,579 | I | By 401(k) |
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 | $48.95 | Nov 23, 2016 | M | 54,380 | D | — | Feb 20, 2018 | Common Stock | 54,380 | 0 | D |
| Stock OptionsF1,F4 | $76.79 | Nov 23, 2016 | M | 53,420 | D | — | Mar 1, 2017 | Common Stock | 53,420 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.
- F2Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
- F3This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.
- F4This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.