0001225208-12-021680.txt : 20121023 0001225208-12-021680.hdr.sgml : 20121023 20121023165929 ACCESSION NUMBER: 0001225208-12-021680 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121019 FILED AS OF DATE: 20121023 DATE AS OF CHANGE: 20121023 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berson Jory A CENTRAL INDEX KEY: 0001365632 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 121156922 MAIL ADDRESS: STREET 1: 15000 CAPITAL ONE DRIVE CITY: RICHMOND STATE: VA ZIP: 23238 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 4 1 doc4.xml X0306 4 2012-10-19 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001365632 Berson Jory A 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Human Resources Officer Common Stock 2012-10-19 4 M 0 16370.0000 18.2800 A 124801.0000 D Common Stock 2012-10-19 4 M 0 6900.0000 56.2800 A 131701.0000 D Common Stock 2012-10-19 4 M 0 1776.0000 56.2800 A 133477.0000 D Common Stock 2012-10-19 4 S 0 17869.0000 60.0000 D 115608.0000 D Common Stock 2012-10-19 4 S 0 25046.0000 60.0000 D 90562.0000 D Common Stock 6232.0000 I By 401(k) Stock Options 18.2800 2012-10-19 4 M 0 16370.0000 0.0000 D 2019-01-28 Common Stock 16370.0000 76372.0000 D Stock Options 56.2800 2012-10-19 4 M 0 6900.0000 0.0000 D 2013-12-14 Common Stock 6900.0000 12024.0000 D Stock Options 56.2800 2012-10-19 4 M 0 1776.0000 0.0000 D 2006-12-15 2013-12-14 Common Stock 1776.0000 0.0000 D This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. These shares were sold at prices ranging from $60 to $60.01. Information regarding the number of shares sold at each price will be provided upon request. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. 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. This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. Gregory W. Seward (POA on file) 2012-10-23