0001225208-16-041701.txt : 20161114
0001225208-16-041701.hdr.sgml : 20161111
20161114181021
ACCESSION NUMBER: 0001225208-16-041701
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161109
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
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: 1216
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: FAIRBANK RICHARD D
CENTRAL INDEX KEY: 0001238032
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 161997003
MAIL ADDRESS:
STREET 1: 1680 CAPITAL ONE DRIVE
CITY: MCLEAN
STATE: VA
ZIP: 22102
4
1
doc4.xml
X0306
4
2016-11-09
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238032
FAIRBANK RICHARD D
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
1
Chair, CEO and President
Common Stock
2016-11-09
4
M
0
216751.0000
76.4500
A
2809767.0000
D
Common Stock
2016-11-09
4
M
0
145231.0000
50.9900
A
2954998.0000
D
Common Stock
2016-11-09
4
S
0
145231.0000
75.0900
D
2809767.0000
D
Common Stock
2016-11-09
4
S
0
216751.0000
76.5700
D
2593016.0000
D
Common Stock
2016-11-10
4
M
0
378100.0000
76.4500
A
2971116.0000
D
Common Stock
2016-11-10
4
S
0
44778.0000
79.2000
D
2926338.0000
D
Common Stock
2016-11-10
4
S
0
77025.0000
77.4600
D
2849313.0000
D
Common Stock
2016-11-10
4
S
0
256297.0000
78.4700
D
2593016.0000
D
Common Stock
2016-11-11
4
M
0
132942.0000
50.9900
A
2725958.0000
D
Common Stock
2016-11-11
4
S
0
132942.0000
80.1000
D
2593016.0000
D
Stock Options
50.9900
2016-11-09
4
M
0
145231.0000
0.0000
D
2017-12-09
Common Stock
145231.0000
1246335.0000
D
Stock Options
76.4500
2016-11-09
4
M
0
216751.0000
0.0000
D
2016-12-10
Common Stock
216751.0000
378100.0000
D
Stock Options
76.4500
2016-11-10
4
M
0
378100.0000
0.0000
D
2016-12-10
Common Stock
378100.0000
0.0000
D
Stock Options
50.9900
2016-11-11
4
M
0
132942.0000
0.0000
D
2017-12-09
Common Stock
132942.0000
1113393.0000
D
This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.30. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.55 to $76.63. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.01 to $79.66. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.09 to $78.00. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.01 to $79.00. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.46. Information regarding the number of shares sold at each price will be provided upon request.
The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.
The grant became exercisable in full on December 11, 2011, the fifth anniversary of the grant date.
Cleo Belmonte (POA on file)
2016-11-14