Filing Details
- Accession Number:
- 0001225208-13-023646
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-15 19:11:09
- Reporting Period:
- 2013-11-14
- Filing Date:
- 2013-11-15
- Accepted Time:
- 2013-11-15 19:11:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 927628 | Capital One Financial Corp | COF | National Commercial Banks (6021) | 541719854 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1238032 | D Richard Fairbank | 1680 Capital One Drive Mclean VA 22102 | Chairman, Ceo And President | Yes | 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 | 2013-11-14 | 360,000 | $56.28 | 3,014,104 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-14 | 141,662 | $70.69 | 2,872,442 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-14 | 360,000 | $70.45 | 2,512,442 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-15 | 300,000 | $70.45 | 2,212,442 | 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 | |
| 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 | 2013-11-14 | 360,000 | $0.00 | 360,000 | $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 |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Includes 9 shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
- These shares were sold at prices ranging from $70.52 to $70.87. Information regarding the number of shares sold at each price will be provided upon request.
- These shares were sold at prices ranging from $70.11 to $70.67. Information regarding the number of shares sold at each price will be provided upon request.
- These shares were sold at prices ranging from $70.24 to $70.93. Information regarding the number of shares sold at each price will be provided upon request.
- This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.
Billionaire Hedge Funds
