Berson Jory A 4
4 · CAPITAL ONE FINANCIAL CORP · Filed Mar 9, 2021
Insider Transaction Report
Form 4
Berson Jory A
President, Financial Services
Transactions
- Sale
Common Stock
2021-03-05$125.15/sh−4,080$510,612→ 83,777 total - Sale
Common Stock
2021-03-05$126.09/sh−6,175$778,606→ 77,602 total - Exercise/Conversion
Common Stock
2021-03-05$74.96/sh+30,296$2,270,988→ 87,857 total - Sale
Common Stock
2021-03-05$127.11/sh−6,330$804,606→ 71,272 total - Sale
Common Stock
2021-03-05$128.16/sh−24,401$3,127,232→ 46,871 total - Disposition to Issuer
Stock Options
2021-03-05−30,296→ 0 totalExercise: $74.96Exp: 2025-01-28→ Common Stock (30,296 underlying)
Holdings
- 7,066(indirect: By 401(k))
Common Stock
Footnotes (8)
- [F1]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.
- [F2]Includes shares acquired by the reporting person through the Company's Associate Stock Purchase 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 $124.45 to $125.44. 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 $125.46 to $126.46. 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 $126.53 to $127.49. 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 $127.55 to $128.41. Information regarding the number of shares sold at each price will be provided upon request.
- [F7]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.
- [F8]This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.