Filing Details

Accession Number:
0000927628-17-000076
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-14 16:58:56
Reporting Period:
2017-02-10
Filing Date:
2017-02-14
Accepted Time:
2017-02-14 16:58:56
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
1184343 W Patrick Gross 1680 Capital One Drive
Mclean VA 22102
Yes No 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 2017-02-10 4,098 $74.72 51,937 No 4 M Direct
Common Stock Acquisiton 2017-02-10 10,205 $47.29 62,142 No 4 M Direct
Common Stock Acquisiton 2017-02-10 8,795 $16.93 70,937 No 4 M Direct
Common Stock Acquisiton 2017-02-10 8,851 $53.03 79,788 No 4 M Direct
Common Stock Acquisiton 2017-02-10 9,111 $54.07 88,899 No 4 M Direct
Common Stock Disposition 2017-02-10 41,060 $88.50 47,839 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M 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 2017-02-10 4,098 $0.00 4,098 $74.72
Common Stock Stock Options Disposition 2017-02-10 10,205 $0.00 10,205 $47.29
Common Stock Stock Options Disposition 2017-02-10 8,795 $0.00 8,795 $16.93
Common Stock Stock Options Disposition 2017-02-10 8,851 $0.00 8,851 $53.03
Common Stock Stock Options Disposition 2017-02-10 9,111 $0.00 9,111 $54.07
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2008-04-26 2017-04-25 No 4 M Direct
0 2009-04-24 2018-04-23 No 4 M Direct
0 2010-04-23 2019-04-22 No 4 M Direct
0 2012-05-11 2021-05-10 No 4 M Direct
0 2013-05-08 2022-05-07 No 4 M Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.40 to $88.61. Information regarding the number of shares sold at each price will be provided upon request.