Filing Details
- Accession Number:
- 0000927628-17-000295
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-05 17:05:15
- Reporting Period:
- 2017-12-01
- Accepted Time:
- 2017-12-05 17:05:15
- 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 | Disposition | 2017-12-01 | 5,000 | $92.18 | 89,603 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-12-04 | 63,740 | $48.95 | 153,343 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-12-04 | 63,740 | $94.74 | 89,603 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-12-04 | 6,357 | $96.00 | 83,246 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-12-04 | 6,257 | $94.70 | 76,989 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| 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 | 2017-12-04 | 63,740 | $0.00 | 63,740 | $48.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-02-20 | 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 October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.
Billionaire Hedge Funds
