SEC Form 4 · accession 0001225208-16-043542

CAPITAL ONE FINANCIAL CORP · COF

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

Reporting owner

Officer — Chief Enterprise Srvcs Officer

Period of report

Dec 14, 2016

Accepted (ET)

Dec 19, 2016 · 4:53 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 14, 2016	M	20,000	$76.79	A	108,742	D
Common Stock^F1,F2	Dec 14, 2016	S	400	$89.33	D	108,342	D
Common Stock^F1,F3	Dec 14, 2016	S	19,600	$88.83	D	88,742	D
Common Stock^F4	holding	—	—		—	709	I	By 401(k)

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 14, 2016	M	20,000	D	—	Mar 1, 2017	Common Stock	20,000	0	D

F1This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 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 $89.32 to $89.35. 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 $88.32 to $89.31. Information regarding the number of shares sold at each price will be provided upon request.
F4Represents 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.
F5This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.