0000927628-18-000004.txt : 20180104 0000927628-18-000004.hdr.sgml : 20180104 20180104171804 ACCESSION NUMBER: 0000927628-18-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180102 FILED AS OF DATE: 20180104 DATE AS OF CHANGE: 20180104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARNER BRADFORD H CENTRAL INDEX KEY: 0001195086 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 18511059 MAIL ADDRESS: STREET 1: FLEETBOSTON FINANCIAL CORP STREET 2: 100 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 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 4 1 wf-form4_151510427004943.xml FORM 4 X0306 4 2018-01-02 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001195086 WARNER BRADFORD H 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 0 0 0 Common Stock 2018-01-02 4 M 0 3000 16.93 A 53085 D Common Stock 2018-01-02 4 S 0 2800 99.42 D 50285 D Common Stock 2018-01-02 4 S 0 200 100.08 D 50085 D Common Stock 140 I By Wife Stock Options 16.93 2018-01-02 4 M 0 3000 0 D 2010-04-23 2019-04-22 Common Stock 3000.0 7229 D This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, 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 $99.04 to $99.93. Information regarding the number of shares sold at each price will be provided upon request. Cleo Belmonte (POA on file) 2018-01-04