Nikko Asset Management Americas’s Capital One COF Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2017 Q4	–	Sell	-1,600	Closed	-$135K	–	300
2017 Q3	$135K	Sell	1,600 -1,600	-50%	-$132K	0.01%	222
2017 Q2	$264K	Sell	3,200 -4,200	-57%	-$341K	0.02%	219
2017 Q1	$641K	Buy	7,400 +1,700	+30%	+$151K	0.05%	155
2016 Q4	$497K	Buy	5,700 +2,900	+104%	+$234K	0.04%	159
2016 Q3	$201K	Sell	2,800 -5,300	-65%	-$364K	0.02%	237
2016 Q2	$502K	Sell	8,100 -6,600	-45%	-$460K	0.05%	149
2016 Q1	$1.02M	Sell	14,700 -14,200	-49%	-$939K	0.12%	93
2015 Q4	$2.12M	Buy	28,900 +4,400	+18%	+$337K	0.24%	80
2015 Q3	$1.75M	Buy	24,500 +21,100	+621%	+$1.69M	0.18%	86
2015 Q2	$298K	Hold	3,400	–	–	0.02%	181
2015 Q1	$269K	Hold	3,400	–	–	0.02%	192
2014 Q4	$283K	Hold	3,400	–	–	0.02%	188
2014 Q3	$278K	Sell	3,400 -17,700	-84%	-$1.45M	0.02%	179
2014 Q2	$1.75M	Sell	21,100 -8,600	-29%	-$668K	0.09%	94
2014 Q1	$2.26M	Buy	29,700 +1,500	+5%	+$110K	0.1%	74
2013 Q4	$2.14M	Buy	28,200 +8,400	+42%	+$598K	0.08%	79
2013 Q3	$1.36M	Sell	19,800 -1,300	-6%	-$87.5K	0.05%	102
2013 Q2	$1.32M	Buy	+21,100	New	+$1.24M	0.04%	98