0000927628-20-000302.txt : 20201112 0000927628-20-000302.hdr.sgml : 20201112 20201112161750 ACCESSION NUMBER: 0000927628-20-000302 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201109 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexander Robert M. CENTRAL INDEX KEY: 0001425374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 201306953 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_160521584582941.xml FORM 4 X0306 4 2020-11-09 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001425374 Alexander Robert M. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Information Officer Common Stock 2020-11-09 4 M 0 50383 48.28 A 159905 D Common Stock 2020-11-09 4 S 0 50003 87.75 D 109902 D Common Stock 2 I Robert M. Alexander UGMA Common Stock 100 I The Alexander Fund Stock Options 48.28 2020-11-09 4 M 0 50383 0 D 2021-01-25 Common Stock 50383.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 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 $87.71 to $88.19. Information regarding the number of shares sold at each price will be provided upon request. This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2020-11-12