0000927628-21-000114.txt : 20210309
0000927628-21-000114.hdr.sgml : 20210309
20210309162435
ACCESSION NUMBER: 0000927628-21-000114
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210305
FILED AS OF DATE: 20210309
DATE AS OF CHANGE: 20210309
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: 21726138
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_161532505482991.xml
FORM 4
X0306
4
2021-03-05
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
2021-03-05
4
M
0
30296
74.96
A
87857
D
Common Stock
2021-03-05
4
S
0
4080
125.15
D
83777
D
Common Stock
2021-03-05
4
S
0
6175
126.09
D
77602
D
Common Stock
2021-03-05
4
S
0
6330
127.11
D
71272
D
Common Stock
2021-03-05
4
S
0
24401
128.16
D
46871
D
Common Stock
7066
I
By 401(k)
Stock Options
74.96
2021-03-05
4
D
0
30296
0
D
2025-01-28
Common Stock
30296.0
0
D
This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.45 to $125.44. 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 $125.46 to $126.46. 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 $126.53 to $127.49. 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 $127.55 to $128.41. 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, 2016 and annually thereafter.
/s/ Cleo Belmonte (POA on file)
2021-03-09