Filing Details
- Accession Number:
- 0000927628-18-000273
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-25 17:22:50
- Reporting Period:
- 2018-07-24
- Accepted Time:
- 2018-07-25 17:22:50
- 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 | Chairman, 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 | 2018-07-24 | 242,090 | $18.28 | 3,011,232 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-24 | 148,808 | $99.04 | 2,862,424 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-07-24 | 93,282 | $99.79 | 2,769,142 | 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 | 2018-07-24 | 242,090 | $0.00 | 242,090 | $18.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-01-28 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, 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 $98.55 to $99.54. 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 $99.55 to $100.26. Information regarding the number of shares sold at each price will be provided upon request.
- This grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.
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