0000927628-20-000316.txt : 20201214 0000927628-20-000316.hdr.sgml : 20201214 20201214161813 ACCESSION NUMBER: 0000927628-20-000316 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201210 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berson Jory A CENTRAL INDEX KEY: 0001365632 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 201386362 MAIL ADDRESS: STREET 1: 15000 CAPITAL ONE DRIVE CITY: RICHMOND STATE: VA ZIP: 23238 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_160798067922814.xml FORM 4 X0306 4 2020-12-10 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001365632 Berson Jory A 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Human Resources Officer Common Stock 2020-12-10 4 M 0 28499 70.96 A 91247 D Common Stock 2020-12-10 4 M 0 27983 63.73 A 119230 D Common Stock 2020-12-10 4 S 0 5060 92.96 D 114170 D Common Stock 2020-12-10 4 S 0 5596 93.90 D 108574 D Common Stock 2020-12-10 4 S 0 57273 95 D 51301 D Common Stock 7101 I By 401(k) Stock Options 70.96 2020-12-10 4 M 0 28499 0 D 2024-01-29 Common Stock 28499.0 0 D Stock Options 63.73 2020-12-10 4 M 0 27983 0 D 2026-02-03 Common Stock 27983.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 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 $92.34 to $93.33. 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 $93.35 to $94.30. 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 $94.43 to $95.13. Information regarding the number of shares sold at each price will be provided upon request. Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction. 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, 2017 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2020-12-14