Filing Details
- Accession Number:
- 0000927628-17-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-30 16:41:44
- Reporting Period:
- 2017-01-26
- Filing Date:
- 2017-01-30
- Accepted Time:
- 2017-01-30 16:41:44
- 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 | 2017-01-26 | 300,000 | $50.99 | 2,893,021 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-01-26 | 146,229 | $88.55 | 2,746,792 | No | 4 | S | Direct | |
Common Stock | Disposition | 2017-01-26 | 153,771 | $89.26 | 2,593,021 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2017-01-27 | 300,000 | $50.99 | 2,893,021 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-01-27 | 296,800 | $89.31 | 2,596,221 | No | 4 | S | Direct | |
Common Stock | Disposition | 2017-01-27 | 3,200 | $89.96 | 2,593,021 | 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 | 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 | 2017-01-26 | 300,000 | $0.00 | 300,000 | $50.99 |
Common Stock | Stock Options | Disposition | 2017-01-27 | 300,000 | $0.00 | 300,000 | $50.99 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
813,393 | 2017-12-09 | No | 4 | M | Direct | |
513,393 | 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.
- Includes shares acquired by the reporting person through the Company's Dividend Reinvestment 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 $87.86 to $88.85. 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 $88.86 to $89.70. 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 $88.94 to $89.82. 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.