0000927628-21-000220.txt : 20210603 0000927628-21-000220.hdr.sgml : 20210603 20210603161851 ACCESSION NUMBER: 0000927628-21-000220 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210603 DATE AS OF CHANGE: 20210603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LaPrade,III Frank G. CENTRAL INDEX KEY: 0001497948 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 21992727 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_162275149747270.xml FORM 4 X0306 4 2021-06-01 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001497948 LaPrade,III Frank G. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Enterprise Srvcs Officer Common Stock 2021-06-01 4 M 0 32420 63.73 A 88727 D Common Stock 2021-06-01 4 S 0 19598 164.45 D 69129 D Common Stock 2021-06-01 4 S 0 12822 165.16 D 56307 D Common Stock 755 I By 401(k) Stock Options 63.73 2021-06-01 4 M 0 32420 0 D 2026-02-03 Common Stock 32420.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 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 $163.85 to $164.84. 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 $164.85 to $165.61. 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, 2017 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2021-06-03