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