0001225208-13-016416.txt : 20130722 0001225208-13-016416.hdr.sgml : 20130722 20130722161541 ACCESSION NUMBER: 0001225208-13-016416 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130719 FILED AS OF DATE: 20130722 DATE AS OF CHANGE: 20130722 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexander Robert M. CENTRAL INDEX KEY: 0001425374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 13979387 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2013-07-19 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Information Officer Common Stock 2013-07-19 4 M 0 17200.0000 56.2800 A 114741.0000 D Common Stock 2013-07-19 4 M 0 11923.0000 18.2800 A 126664.0000 D Common Stock 2013-07-19 4 S 0 4724.0000 69.7400 D 121940.0000 D Common Stock 2013-07-19 4 S 0 33123.0000 68.7500 D 88817.0000 D Common Stock 2.0000 I Robert M. Alexander UGMA Common Stock 100.0000 I The Alexander Fund Stock Options 18.2800 2013-07-19 4 M 0 11923.0000 0.0000 D 2019-01-28 Common Stock 11923.0000 32925.0000 D Stock Options 56.2800 2013-07-19 4 M 0 17200.0000 0.0000 D 2013-12-14 Common Stock 17200.0000 0.0000 D This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. 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) 2013-07-22