Filing Details
- Accession Number:
- 0000927628-17-000020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-03 16:40:42
- Reporting Period:
- 2017-02-01
- Filing Date:
- 2017-02-03
- Accepted Time:
- 2017-02-03 16:40:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1567914 | S. Kevin Borgmann | 1680 Capital One Drive Mclean VA 22102 | Chief Risk 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 | 2017-02-01 | 9,140 | $76.79 | 65,097 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-02-01 | 20,400 | $48.95 | 85,497 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-01 | 36,497 | $88.15 | 49,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-01 | 2,800 | $88.80 | 46,200 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2017-02-01 | 9,140 | $0.00 | 9,140 | $76.79 |
| Common Stock | Stock Options | Disposition | 2017-02-01 | 20,400 | $0.00 | 20,400 | $48.95 |
| 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 | |
| 0 | 2018-02-20 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, 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 $87.68 to $88.66. 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 $88.70 to $88.94. 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.
- This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.
Billionaire Hedge Funds
