Filing Details
- Accession Number:
- 0000927628-21-000114
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-09 16:24:35
- Reporting Period:
- 2021-03-05
- Accepted Time:
- 2021-03-09 16:24:35
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-03-05 | 30,296 | $74.96 | 87,857 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-05 | 4,080 | $125.15 | 83,777 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-05 | 6,175 | $126.09 | 77,602 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-05 | 6,330 | $127.11 | 71,272 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-05 | 24,401 | $128.16 | 46,871 | 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 | 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 | 2021-03-05 | 30,296 | $0.00 | 30,296 | $74.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-01-28 | No | 4 | D | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,066 | Indirect | By 401(k) |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, 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 Associate Stock Purchase 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 $124.45 to $125.44. 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 $125.46 to $126.46. 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 $126.53 to $127.49. 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 $127.55 to $128.41. 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, 2016 and annually thereafter.
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