Home > Insider Trading > Filing (0000927628-21-000111)

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
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
Common Stock	Acquisiton	2021-03-04	24,445	$70.96	112,670	No	4	M	Direct
Common Stock	Acquisiton	2021-03-04	27,266	$74.96	139,936	No	4	M	Direct
Common Stock	Disposition	2021-03-04	16,391	$123.20	123,545	No	4	S	Direct
Common Stock	Disposition	2021-03-04	22,644	$124.19	100,901	No	4	S	Direct
Common Stock	Disposition	2021-03-04	34,217	$124.88	66,684	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	2021-03-04	24,445	$0.00	24,445	$70.96
Common Stock	Stock Options	Disposition	2021-03-04	27,266	$0.00	27,266	$74.96

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		2025-01-28	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 February 2, 2021, 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 $122.69 to $123.67. 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 $123.69 to $124.67. 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 $124.70 to $125.65. 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 15, 2015 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.