0000927628-21-000111.txt : 20210308 0000927628-21-000111.hdr.sgml : 20210308 20210308170742 ACCESSION NUMBER: 0000927628-21-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210304 FILED AS OF DATE: 20210308 DATE AS OF CHANGE: 20210308 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: 21722824 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_161524124184511.xml FORM 4 X0306 4 2021-03-04 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 2021-03-04 4 M 0 24445 70.96 A 112670 D Common Stock 2021-03-04 4 M 0 27266 74.96 A 139936 D Common Stock 2021-03-04 4 S 0 16391 123.20 D 123545 D Common Stock 2021-03-04 4 S 0 22644 124.19 D 100901 D Common Stock 2021-03-04 4 S 0 34217 124.88 D 66684 D Common Stock 2 I Robert M. Alexander UGMA Common Stock 100 I The Alexander Fund Stock Options 70.96 2021-03-04 4 M 0 24445 0 D 2024-01-29 Common Stock 24445.0 0 D Stock Options 74.96 2021-03-04 4 M 0 27266 0 D 2025-01-28 Common Stock 27266.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, 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 $122.69 to $123.67. 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 $123.69 to $124.67. 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 $124.70 to $125.65. 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 February 15, 2015 and annually thereafter. This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2021-03-08