Filing Details
- Accession Number:
- 0001225208-13-018773
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-28 16:23:03
- Reporting Period:
- 2013-08-26
- Filing Date:
- 2013-08-28
- Accepted Time:
- 2013-08-28 16:23:03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 927628 | Capital One Financial Corp | COF | State Commercial Banks (6022) | 541719854 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1365632 | A Jory Berson | 1680 Capital One Drive Mclean VA 22102 | Chief Human Resources Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-26 | 12,024 | $56.28 | 95,586 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-26 | 4,743 | $66.55 | 90,843 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-26 | 12,024 | $66.54 | 78,819 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2013-08-26 | 12,024 | $0.00 | 12,024 | $56.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-12-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,296 | Indirect | By 401(k) |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- These shares were sold at prices ranging from $66.45 to $66.65. Information regarding the number of shares sold at each price will be provided upon request.
- These shares were sold at prices ranging from $66.45 to $66.67. Information regarding the number of shares sold at each price will be provided upon request.
- Represents 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.
- This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.
Billionaire Hedge Funds
