Home > Insider Trading > Filing (0000927628-20-000316)

Filing Details

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
1365632	A Jory Berson	1680 Capital One Drive Mclean VA 22102	Chief Human Resources 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
Common Stock	Acquisiton	2020-12-10	28,499	$70.96	91,247	No	4	M	Direct
Common Stock	Acquisiton	2020-12-10	27,983	$63.73	119,230	No	4	M	Direct
Common Stock	Disposition	2020-12-10	5,060	$92.96	114,170	No	4	S	Direct
Common Stock	Disposition	2020-12-10	5,596	$93.90	108,574	No	4	S	Direct
Common Stock	Disposition	2020-12-10	57,273	$95.00	51,301	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	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	2020-12-10	28,499	$0.00	28,499	$70.96
Common Stock	Stock Options	Disposition	2020-12-10	27,983	$0.00	27,983	$63.73

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2024-01-29	No	4	M	Direct
0		2026-02-03	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	7,101	Indirect	By 401(k)

Footnotes

This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, 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 $92.34 to $93.33. 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 $93.35 to $94.30. 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 $94.43 to $95.13. Information regarding the number of shares sold at each price will be provided upon request.
Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.