SEC Form 4 · accession 0001225208-17-000710
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank G. LaPrade,III
Officer — Chief Enterprise Srvcs Officer
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 4:33 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 | Jan 3, 2017 | M | 45,810 | $48.95 | A | 134,552 | D | |
| Common StockF1 | Jan 3, 2017 | M | 30,647 | $18.28 | A | 165,199 | D | |
| Common StockF1,F2 | Jan 3, 2017 | S | 49,200 | $89.15 | D | 115,999 | D | |
| Common StockF1,F3 | Jan 3, 2017 | S | 64,347 | $88.49 | D | 51,652 | D | |
| Common StockF4 | holding | — | — | — | 709 | 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,F5 | $18.28 | Jan 3, 2017 | M | 30,647 | D | — | Jan 28, 2019 | Common Stock | 30,647 | 0 | D |
| Stock OptionsF1,F6 | $48.95 | Jan 3, 2017 | M | 45,810 | D | — | Feb 20, 2018 | Common Stock | 45,810 | 0 | D |
Explanation of responses
- 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 $88.79 to $89.56. 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 $87.79 to $88.78. 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 January 29, 2010 and annually thereafter.
- F6This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.