Filing Details
- Accession Number:
- 0000927628-19-000321
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-06 16:07:19
- Reporting Period:
- 2019-11-04
- Accepted Time:
- 2019-11-06 16:07:19
- 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 | Senior Advisor And Corp Secy | 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 | 2019-11-04 | 20,000 | $45.75 | 147,690 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-04 | 16,560 | $95.81 | 131,130 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-04 | 10,818 | $96.01 | 120,312 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-11-05 | 22,679 | $45.75 | 142,991 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-05 | 18,740 | $96.80 | 124,251 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-05 | 10,821 | $97.08 | 113,430 | 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 | 2019-11-04 | 20,000 | $0.00 | 20,000 | $45.75 |
| Common Stock | Stock Options | Disposition | 2019-11-05 | 22,679 | $0.00 | 22,679 | $45.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,679 | 2022-01-30 | No | 4 | M | Direct | |
| 0 | 2022-01-30 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, 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 $95.80 to $95.81. Information regarding the number of shares sold at each price will be provided upon request.
- This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, 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 $96.00 to $96.08. 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 $97.00 to $97.24. 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 February 10, 2013 and annually thereafter.
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