0000927628-20-000281.txt : 20201030 0000927628-20-000281.hdr.sgml : 20201030 20201030163736 ACCESSION NUMBER: 0000927628-20-000281 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201028 FILED AS OF DATE: 20201030 DATE AS OF CHANGE: 20201030 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: 201277851 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_160409024157952.xml FORM 4 X0306 4 2020-10-28 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238032 FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 1 0 0 Chairman, CEO and President Common Stock 2020-10-28 4 M 0 40557 48.28 A 3560941 D Common Stock 2020-10-28 4 S 0 18103 72.09 D 3542838 D Common Stock 2020-10-28 4 S 0 14652 72.78 D 3528186 D Common Stock 2020-10-28 4 S 0 400 73.57 D 3527786 D Common Stock 2020-10-29 4 M 0 40557 48.28 A 3568343 D Common Stock 2020-10-29 4 S 0 8347 71.23 D 3559996 D Common Stock 2020-10-29 4 S 0 24653 72.44 D 3535343 D Common Stock 2020-10-29 4 S 0 275 73.19 D 3535068 D Stock Options 48.28 2020-10-28 4 M 0 40557 0 D 2014-01-26 2021-01-25 Common Stock 40557.0 486695 D Stock Options 48.28 2020-10-29 4 M 0 40557 0 D 2014-01-26 2021-01-25 Common Stock 40557.0 446138 D This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $71.51 to $72.50. 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 $72.51 to $73.37. 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 $70.89 to $71.87. 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 $71.95 to $72.76. 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 $73.11 to $73.26. Information regarding the number of shares sold at each price will be provided upon request. /s/ Cleo Belmonte (POA on file) 2020-10-30