0000927628-17-000240.txt : 20170727 0000927628-17-000240.hdr.sgml : 20170727 20170727180023 ACCESSION NUMBER: 0000927628-17-000240 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170725 FILED AS OF DATE: 20170727 DATE AS OF CHANGE: 20170727 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: 17987310 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 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_150119280973320.xml FORM 4 X0306 4 2017-07-25 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238032 FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 1 0 0 Chair, CEO and President Common Stock 2017-07-25 4 M 0 300000 50.99 A 2980556 D Common Stock 2017-07-25 4 S 0 281712 87.15 D 2698844 D Common Stock 2017-07-25 4 S 0 18288 87.80 D 2680556 D Common Stock 2017-07-26 4 M 0 67419 50.99 A 2747975 D Common Stock 2017-07-26 4 S 0 60537 86.20 D 2687438 D Common Stock 2017-07-26 4 S 0 6882 86.87 D 2680556 D Stock Options 50.99 2017-07-25 4 M 0 300000 0 D 2017-12-09 Common Stock 300000.0 67419 D Stock Options 50.99 2017-07-26 4 M 0 67419 0 D 2017-12-09 Common Stock 67419.0 0 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. Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.69 to $87.67. 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 $87.68 to $88.15. 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 $85.63 to $86.63. 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 $86.63 to $87.21. 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. Cleo Belmonte (POA on file) 2017-07-27