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CAPITAL ONE FINANCIAL CORP — Director's Dealing 2016
Nov 2, 2016
29823_dirs_2016-11-02_6636191b-f69d-4d8e-948f-fd01ed634d91.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2016-10-31
Reporting Person: FAIRBANK RICHARD D (Director, Chair, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-31 | Common Stock | M | 4300.0000 | $50.9900 | Acquired | 2597316.0000 | Direct |
| 2016-10-31 | Common Stock | S | 4300.0000 | $75.1200 | Disposed | 2593016.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-31 | Stock Options | $50.9900 | M | 4300.0000 | Disposed | 2017-12-09 | Common Stock (4300.0000) | Direct |
Footnotes
F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.01 to $75.13. Information regarding the number of shares sold at each price with be provided upon request.
F3: This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.