Filing Details
- Accession Number:
- 0000927628-18-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-01-04 17:17:47
- Reporting Period:
- 2018-01-02
- Accepted Time:
- 2018-01-04 17:17:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1238033 | Jr G John Finneran | 1680 Capital One Drive Mclean VA 22102 | Gen. Counsel & Corp. Secretary | 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 | 2018-01-02 | 56,624 | $48.28 | 144,280 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-02 | 45,700 | $99.19 | 98,580 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-01-02 | 2,029 | $100.02 | 96,551 | 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 | 2018-01-02 | 56,624 | $0.00 | 56,624 | $48.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-01-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 15,764 | Indirect | Finneran/Cotter Children's Trust |
| Common Stock | 52,128 | Indirect | By GRAT |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 2017, 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 $98.84 to $99.72. 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 $99.88 to $100.15. 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 January 26, 2012 and annually thereafter.
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