Filing Details
- Accession Number:
- 0001225208-16-043187
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-14 17:01:53
- Reporting Period:
- 2016-12-12
- Filing Date:
- 2016-12-14
- Accepted Time:
- 2016-12-14 17:01:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1425374 | M. Robert Alexander | 1680 Capital One Drive Mclean VA 22102 | Chief Information 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 | 2016-12-12 | 29,190 | $76.79 | 131,050 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-12 | 16,800 | $90.67 | 114,250 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-12-12 | 18,307 | $90.11 | 95,943 | 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 | 2016-12-12 | 29,190 | $0.00 | 29,190 | $76.79 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-03-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2 | Indirect | Robert M. Alexander UGMA |
| Common Stock | 100 | Indirect | The Alexander Fund |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.45 to $91.05. 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 $89.45 to $90.44. 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 March 2, 2008 and annually thereafter.
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