0000927628-20-000293.txt : 20201103
0000927628-20-000293.hdr.sgml : 20201103
20201103160616
ACCESSION NUMBER: 0000927628-20-000293
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: FINNERAN JOHN G JR
CENTRAL INDEX KEY: 0001238033
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 201283534
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_160443756276197.xml
FORM 4
X0306
4
2020-10-30
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001238033
FINNERAN JOHN G JR
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
0
1
0
0
Senior Advisor and Corp Secy
Stock Options
56.32
2020-10-30
5
G
0
E
34611
0
D
2023-01-30
Common Stock
34611.0
0
D
Stock Options
70.96
2020-10-30
5
G
0
E
29783
0
D
2024-01-29
Common Stock
29783.0
0
D
Stock Options
74.96
2020-10-30
5
G
0
E
31660
0
D
2025-01-28
Common Stock
31660.0
0
D
Stock Options
63.73
2020-10-30
5
G
0
E
30246
0
D
2026-02-03
Common Stock
30246.0
0
D
Stock Options
86.34
2020-10-30
5
G
0
E
23738
0
D
2027-02-02
Common Stock
23738.0
0
D
On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.
This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.
This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.
/s/ Cleo Belmonte (POA on file)
2020-11-03