Filing Details
- Accession Number:
- 0001225208-16-041701
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 18:10:21
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 18:10:21
- 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 | Chair, 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 | 2016-11-09 | 216,751 | $76.45 | 2,809,767 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 145,231 | $50.99 | 2,954,998 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 145,231 | $75.09 | 2,809,767 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-09 | 216,751 | $76.57 | 2,593,016 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-10 | 378,100 | $76.45 | 2,971,116 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 44,778 | $79.20 | 2,926,338 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-10 | 77,025 | $77.46 | 2,849,313 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-10 | 256,297 | $78.47 | 2,593,016 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-11 | 132,942 | $50.99 | 2,725,958 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-11 | 132,942 | $80.10 | 2,593,016 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2016-11-09 | 145,231 | $0.00 | 145,231 | $50.99 |
| Common Stock | Stock Options | Disposition | 2016-11-09 | 216,751 | $0.00 | 216,751 | $76.45 |
| Common Stock | Stock Options | Disposition | 2016-11-10 | 378,100 | $0.00 | 378,100 | $76.45 |
| Common Stock | Stock Options | Disposition | 2016-11-11 | 132,942 | $0.00 | 132,942 | $50.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,246,335 | 2017-12-09 | No | 4 | M | Direct | |
| 378,100 | 2016-12-10 | No | 4 | M | Direct | |
| 0 | 2016-12-10 | No | 4 | M | Direct | |
| 1,113,393 | 2017-12-09 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.30. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.55 to $76.63. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.01 to $79.66. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.09 to $78.00. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.01 to $79.00. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.46. Information regarding the number of shares sold at each price will be provided upon request.
- The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.
- The grant became exercisable in full on December 11, 2011, the fifth anniversary of the grant date.
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