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
  1. 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.
  2. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase 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 $124.45 to $125.44. 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 $125.46 to $126.46. 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 $126.53 to $127.49. 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 $127.55 to $128.41. Information regarding the number of shares sold at each price will be provided upon request.
  7. 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.
  8. This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.