Berson Jory A 4
4 · CAPITAL ONE FINANCIAL CORP · Filed Jun 9, 2021
Insider Transaction Report
Form 4
Berson Jory A
President, Financial Services
Transactions
- Exercise/Conversion
Stock Options
2021-06-07−21,316→ 0 totalExercise: $86.34Exp: 2027-02-02→ Common Stock (21,316 underlying) - Sale
Common Stock
2021-06-07$164.12/sh−12,450$2,043,294→ 63,157 total - Exercise/Conversion
Common Stock
2021-06-07$86.34/sh+21,316$1,840,423→ 75,607 total - Sale
Common Stock
2021-06-07$164.72/sh−11,985$1,974,169→ 51,172 total
Holdings
- 7,034(indirect: By 401(k))
Common Stock
Footnotes (6)
- [F1]This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 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 $163.50 to $164.47. 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 $164.50 to $165.23. Information regarding the number of shares sold at each price will be provided upon request.
- [F5]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.
- [F6]This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.