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