SEC Form 4 · accession 0001225208-16-043189

CAPITAL ONE FINANCIAL CORP · COF

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

Reporting owner

Director

Period of report

Dec 12, 2016

Accepted (ET)

Dec 14, 2016 · 5:02 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	Dec 12, 2016	M	8,929	$47.29	A	50,151	D
Common Stock^F1	Dec 12, 2016	M	3,586	$74.72	A	53,737	D
Common Stock^F1,F2	Dec 12, 2016	S	2,000	$90.84	D	51,737	D
Common Stock^F1,F3	Dec 12, 2016	S	10,515	$90.35	D	41,222	D
Common Stock	holding	—	—		—	1,806	I	By Hay Family Limited Partnership

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F1	$47.29	Dec 12, 2016	M	8,929	D	Apr 24, 2009	Apr 23, 2018	Common Stock	8,929	0	D
Stock Options^F1	$74.72	Dec 12, 2016	M	3,586	D	Apr 26, 2008	Apr 25, 2017	Common Stock	3,586	0	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, 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 $90.72 to $91.00. 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 $89.73 to $90.71. Information regarding the number of shares sold at each price will be provided upon request.