CAPITAL ONE FINANCIAL CORP — Director's Dealing 2017

Jul 27, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2017-07-25

Reporting Person: FAIRBANK RICHARD D (Director, Chair, CEO and President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-07-25	Common Stock	M	300000	$50.99	Acquired	2980556	Direct
2017-07-25	Common Stock	S	281712	$87.15	Disposed	2698844	Direct
2017-07-25	Common Stock	S	18288	$87.80	Disposed	2680556	Direct
2017-07-26	Common Stock	M	67419	$50.99	Acquired	2747975	Direct
2017-07-26	Common Stock	S	60537	$86.20	Disposed	2687438	Direct
2017-07-26	Common Stock	S	6882	$86.87	Disposed	2680556	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-07-25	Stock Options	$50.99	M	300000	Disposed	2017-12-09	Common Stock (300000.0)	Direct
2017-07-26	Stock Options	$50.99	M	67419	Disposed	2017-12-09	Common Stock (67419.0)	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: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.69 to $87.67. Information regarding the number of shares sold at each price will be provided upon request.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.68 to $88.15. Information regarding the number of shares sold at each price will be provided upon request.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.63 to $86.63. Information regarding the number of shares sold at each price will be provided upon request.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.63 to $87.21. Information regarding the number of shares sold at each price will be provided upon request.

F7: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.