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CAPITAL ONE FINANCIAL CORP — Director's Dealing 2019
Nov 6, 2019
29823_dirs_2019-11-06_b133be3e-bc13-4509-86c5-8568b105a7b1.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: 2019-11-04
Reporting Person: FINNERAN JOHN G JR (Senior Advisor and Corp Secy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-11-04 | Common Stock | M | 20000 | $45.75 | Acquired | 147690 | Direct |
| 2019-11-04 | Common Stock | S | 16560 | $95.81 | Disposed | 131130 | Direct |
| 2019-11-04 | Common Stock | S | 10818 | $96.01 | Disposed | 120312 | Direct |
| 2019-11-05 | Common Stock | M | 22679 | $45.75 | Acquired | 142991 | Direct |
| 2019-11-05 | Common Stock | S | 18740 | $96.80 | Disposed | 124251 | Direct |
| 2019-11-05 | Common Stock | S | 10821 | $97.08 | Disposed | 113430 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-11-04 | Stock Options | $45.75 | M | 20000 | Disposed | 2022-01-30 | Common Stock (20000.0) | Direct |
| 2019-11-05 | Stock Options | $45.75 | M | 22679 | Disposed | 2022-01-30 | Common Stock (22679.0) | Direct |
Footnotes
F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, 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 $95.80 to $95.81. Information regarding the number of shares sold at each price will be provided upon request.
F3: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.00 to $96.08. 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 $97.00 to $97.24. Information regarding the number of shares sold at each price will be provided upon request.
F6: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.