SEC Form 4 · accession 0001225208-16-043187

CAPITAL ONE FINANCIAL CORP · COF

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

Reporting owner

Officer — Chief Information Officer

Period of report

Dec 12, 2016

Accepted (ET)

Dec 14, 2016 · 5:01 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^F1,F2	Dec 12, 2016	M	29,190	$76.79	A	131,050	D
Common Stock^F1,F3	Dec 12, 2016	S	16,800	$90.67	D	114,250	D
Common Stock^F1,F4	Dec 12, 2016	S	18,307	$90.11	D	95,943	D
Common Stock	holding	—	—		—	2	I	Robert M. Alexander UGMA
Common Stock	holding	—	—		—	100	I	The Alexander Fund

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1,F5	$76.79	Dec 12, 2016	M	29,190	D	—	Mar 1, 2017	Common Stock	29,190	0	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, 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 Associate Stock Purchase 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 $90.45 to $91.05. 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 $89.45 to $90.44. Information regarding the number of shares sold at each price will be provided upon request.
F5This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.