Filing Details
- Accession Number:
- 0001225208-13-000889
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-04 18:17:04
- Reporting Period:
- 2013-01-02
- Filing Date:
- 2013-01-04
- Accepted Time:
- 2013-01-04 18:17:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 927628 | Capital One Financial Corp | COF | State Commercial Banks (6022) | 541719854 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1466919 | Yajnik Sanjiv | 1680 Capital One Drive Mclean VA 22102 | President, Financial Services | 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 | 2013-01-02 | 54,870 | $48.95 | 173,924 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-01-02 | 42,679 | $18.28 | 216,603 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-01-02 | 18,601 | $48.28 | 235,204 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-01-02 | 3,734 | $56.28 | 238,938 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-02 | 3,734 | $60.00 | 235,204 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 3,934 | $60.00 | 231,270 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 5,575 | $60.00 | 225,695 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 17,373 | $60.00 | 208,322 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 22,810 | $60.00 | 185,512 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 42,679 | $60.00 | 142,833 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-01-02 | 54,870 | $60.00 | 87,963 | 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 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2013-01-02 | 18,601 | $0.00 | 18,601 | $48.28 |
| Common Stock | Stock Options | Disposition | 2013-01-02 | 42,679 | $0.00 | 42,679 | $18.28 |
| Common Stock | Stock Options | Disposition | 2013-01-02 | 54,870 | $0.00 | 54,870 | $48.95 |
| Common Stock | Stock Options | Disposition | 2013-01-02 | 3,734 | $0.00 | 3,734 | $56.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 37,204 | 2021-01-25 | No | 4 | M | Direct | |
| 0 | 2019-01-28 | No | 4 | M | Direct | |
| 0 | 2018-02-20 | No | 4 | M | Direct | |
| 0 | 2013-12-14 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- This option is exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.
- This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.
- This option is exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.
- This option is exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.
Billionaire Hedge Funds
