0000927628-17-000152.txt : 20170315 0000927628-17-000152.hdr.sgml : 20170315 20170315173117 ACCESSION NUMBER: 0000927628-17-000152 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170313 FILED AS OF DATE: 20170315 DATE AS OF CHANGE: 20170315 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: Berson Jory A CENTRAL INDEX KEY: 0001365632 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 17692236 MAIL ADDRESS: STREET 1: 15000 CAPITAL ONE DRIVE CITY: RICHMOND STATE: VA ZIP: 23238 4 1 wf-form4_148961346118412.xml FORM 4 X0306 4 2017-03-13 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001365632 Berson Jory A 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Human Resources Officer Common Stock 2017-03-13 4 M 0 57457 48.28 A 162542 D Common Stock 2017-03-13 4 S 0 48963 92.08 D 113579 D Common Stock 2017-03-13 4 S 0 14599 92.07 D 98980 D Common Stock 6624 I By 401(k) Stock Options 48.28 2017-03-13 4 M 0 57457 48.28 D 2021-01-25 Common Stock 57457.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 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 $91.67 to $92.38. 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 $91.65 to $92.38. Information regarding the number of shares sold at each price will be provided upon request. 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 26, 2012 and annually thereafter. Cleo Belmonte (POA on file) 2017-03-15