0001225208-14-000179.txt : 20140102 0001225208-14-000179.hdr.sgml : 20140101 20140102192351 ACCESSION NUMBER: 0001225208-14-000179 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140102 FILED AS OF DATE: 20140102 DATE AS OF CHANGE: 20140102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] 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: 14503087 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 doc4.xml X0306 4 2014-01-02 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Chief Information Officer Common Stock 2014-01-02 4 M 0 5000.0000 18.2800 A 89732.0000 D Common Stock 2014-01-02 4 S 0 4104.0000 76.7400 D 85628.0000 D Common Stock 2014-01-02 4 S 0 5000.0000 76.7400 D 80628.0000 D Common Stock 2.0000 I Robert M. Alexander UGMA Common Stock 100.0000 I The Alexander Fund Stock Options 18.2800 2014-01-02 4 M 0 5000.0000 0.0000 D 2019-01-28 Common Stock 5000.0000 22925.0000 D This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 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. Gregory W. Seward (POA on file) 2014-01-02