Accession Number: | 0000927628-21-000221 |
Date: | 2021-06-01 |
Issuer: | CAPITAL ONE FINANCIAL CORP (COF) |
Original Submission Date: |
ALEXANDER ROBERT M.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-06-01 | M | 28,540 | a | $63.73 | 102,084 | direct | ||
COMMON STOCK | 2021-06-01 | S | 23,042 | d | $164.45 | 79,042 | direct | ||
COMMON STOCK | 2021-06-01 | S | 15,190 | d | $165.16 | 63,852 | direct | ||
COMMON STOCK | 2021-06-01 | 0 | $0.00 | 2 | indirect | ||||
COMMON STOCK | 2021-06-01 | 0 | $0.00 | 100 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTIONS | 63.73 | 2021-06-01 | deemed execution date | M | 28,540 (d) | 2026-02-03 | common stock 28,540 | $63.73 | 0 | direct |
ID | footnote |
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f1 | this transaction was executed pursuant to a trading plan entered into by the reporting person on april 30, 2021, 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 $163.85 to $164.84. information regarding the number of shares sold at each price will be provided upon request. |
f3 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $164.86 to $165.61. information regarding the number of shares sold at each price will be provided upon request. |
f4 | this option became exercisable in 1/3 increments beginning on february 15, 2017 and annually thereafter. |