0000927628-21-000117.txt : 20210310 0000927628-21-000117.hdr.sgml : 20210310 20210310170933 ACCESSION NUMBER: 0000927628-21-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210308 FILED AS OF DATE: 20210310 DATE AS OF CHANGE: 20210310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sanjiv Yajnik CENTRAL INDEX KEY: 0001466919 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 21730695 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_161541415249602.xml FORM 4 X0306 4 2021-03-08 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001466919 Sanjiv Yajnik 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 President, Financial Services Common Stock 2021-03-08 4 M 0 28633 63.73 A 111275 D Common Stock 2021-03-08 4 S 0 47485 130.03 D 63790 D Stock Options 63.73 2021-03-08 4 M 0 28633 0 D 2026-02-03 Common Stock 28633.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 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 $130.00 to $130.07. 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, 2017 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2021-03-10