0000927628-20-000292.txt : 20201103 0000927628-20-000292.hdr.sgml : 20201103 20201103160558 ACCESSION NUMBER: 0000927628-20-000292 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201030 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201103 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: 201283527 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_160443754399236.xml FORM 4 X0306 4 2020-10-30 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 2020-10-30 4 M 0 40558 48.28 A 3575626 D Common Stock 2020-10-30 4 S 0 14831 71.82 D 3560795 D Common Stock 2020-10-30 4 S 0 18386 72.70 D 3542409 D Common Stock 2020-11-02 4 M 0 40558 48.28 A 3582967 D Common Stock 2020-11-02 4 S 0 27271 74.74 D 3555696 D Common Stock 2020-11-02 4 S 0 5457 75.27 D 3550239 D Stock Options 48.28 2020-10-30 4 M 0 40558 0 D 2014-01-26 2021-01-25 Common Stock 40558.0 405580 D Stock Options 48.28 2020-11-02 4 M 0 40558 0 D 2014-01-26 2021-01-25 Common Stock 40558.0 365022 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 $71.28 to $72.27. 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 $72.28 to $73.20. 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 $74.19 to $75.15. 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 $75.23 to $75.60. Information regarding the number of shares sold at each price will be provided upon request. /s/ Cleo Belmonte (POA on file) 2020-11-03