Filing Details

Accession Number:
0000927628-18-000020
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-26 17:52:02
Reporting Period:
2018-01-24
Accepted Time:
2018-01-26 17:52:02
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
1238032 D Richard Fairbank 1680 Capital One Drive
Mclean VA 22102
Chair, Ceo And President Yes 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 2018-01-24 300,000 $18.28 2,978,270 No 4 M Direct
Common Stock Disposition 2018-01-24 24,035 $104.71 2,954,235 No 4 S Direct
Common Stock Disposition 2018-01-24 272,942 $105.44 2,681,293 No 4 S Direct
Common Stock Disposition 2018-01-24 3,023 $106.09 2,678,270 No 4 S Direct
Common Stock Acquisiton 2018-01-25 185,202 $18.28 2,863,472 No 4 M Direct
Common Stock Disposition 2018-01-25 111,873 $104.22 2,751,599 No 4 S Direct
Common Stock Disposition 2018-01-25 73,129 $105.20 2,678,470 No 4 S Direct
Common Stock Disposition 2018-01-25 200 $105.83 2,678,270 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 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 2018-01-24 300,000 $0.00 300,000 $18.28
Common Stock Stock Options Disposition 2018-01-25 185,202 $0.00 185,202 $18.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
670,403 2019-01-28 No 4 M Direct
485,201 2019-01-28 No 4 M Direct
Footnotes
  1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
  2. Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.04 to $105.03. Information regarding the number of shares sold at each price will be provided upon request.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.04 to $106.02. Information regarding the number of shares sold at each price will be provided upon request.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.04 to $106.27. Information regarding the number of shares sold at each price will be provided upon request.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.72 to $104.70. Information regarding the number of shares sold at each price will be provided upon request.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.72 to $105.64. Information regarding the number of shares sold at each price will be provided upon request.
  8. The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.