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