Filing Details

Accession Number:
0001225208-16-043189
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-14 17:02:00
Reporting Period:
2016-12-12
Filing Date:
2016-12-14
Accepted Time:
2016-12-14 17:02:00
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
1182705 Iii Lewis Hay 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 2016-12-12 8,929 $47.29 50,151 No 4 M Direct
Common Stock Acquisiton 2016-12-12 3,586 $74.72 53,737 No 4 M Direct
Common Stock Disposition 2016-12-12 2,000 $90.84 51,737 No 4 S Direct
Common Stock Disposition 2016-12-12 10,515 $90.35 41,222 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M 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 2016-12-12 8,929 $0.00 8,929 $47.29
Common Stock Stock Options Disposition 2016-12-12 3,586 $0.00 3,586 $74.72
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-04-24 2018-04-23 No 4 M Direct
0 2008-04-26 2017-04-25 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,806 Indirect By Hay Family Limited Partnership
Footnotes
  1. This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.72 to $91.00. Information regarding the number of shares sold at each price will be provided upon request.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.73 to $90.71. Information regarding the number of shares sold at each price will be provided upon request.