0000927628-20-000299.txt : 20201109 0000927628-20-000299.hdr.sgml : 20201109 20201109161015 ACCESSION NUMBER: 0000927628-20-000299 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201105 FILED AS OF DATE: 20201109 DATE AS OF CHANGE: 20201109 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: 201297765 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_160495619012784.xml FORM 4 X0306 4 2020-11-05 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 2020-11-05 4 M 0 40558 48.28 A 3597003 D Common Stock 2020-11-05 4 S 0 17450 76.83 D 3579553 D Common Stock 2020-11-05 4 S 0 5984 77.70 D 3573569 D Common Stock 2020-11-05 4 S 0 8821 78.58 D 3564748 D Common Stock 2020-11-06 4 M 0 40558 48.28 A 3605306 D Common Stock 2020-11-06 4 S 0 3107 78.03 D 3602199 D Common Stock 2020-11-06 4 S 0 20512 78.67 D 3581687 D Common Stock 2020-11-06 4 S 0 8291 79.45 D 3573396 D Stock Options 48.28 2020-11-05 4 M 0 40558 0 D 2014-01-26 2021-01-25 Common Stock 40558.0 243348 D Stock Options 48.28 2020-11-06 4 M 0 40558 0 D 2014-01-26 2021-01-25 Common Stock 40558.0 202790 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 $76.24 to $77.23. 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 $77.29 to $78.25. 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 $78.30 to $79.01. 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 $77.22 to $78.20. 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 $78.22 to $79.17. 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 $79.31 to $79.58. Information regarding the number of shares sold at each price will be provided upon request. /s/ Cleo Belmonte (POA on file) 2020-11-09