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