0000927628-21-000272.txt : 20210907 0000927628-21-000272.hdr.sgml : 20210907 20210907160551 ACCESSION NUMBER: 0000927628-21-000272 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210902 FILED AS OF DATE: 20210907 DATE AS OF CHANGE: 20210907 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: 211239356 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_163104513366787.xml FORM 4 X0306 4 2021-09-02 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 2021-09-02 4 S 0 8336 160.83 D 47971 D Common Stock 2021-09-02 4 S 0 1923 162.12 D 46048 D Common Stock 2021-09-02 4 S 0 1409 162.49 D 44639 D Common Stock 761 I By 401(k) This transaction was executed pursuant to a trading plan entered into by the reporting person on August 3, 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 $160.38 to $161.35. 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 $161.39 to $162.38. 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 $162.40 to $162.52. 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. /s/ Cleo Belmonte (POA on file) 2021-09-07