0000927628-24-000269.txt : 20240808 0000927628-24-000269.hdr.sgml : 20240808 20240808173849 ACCESSION NUMBER: 0000927628-24-000269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240806 FILED AS OF DATE: 20240808 DATE AS OF CHANGE: 20240808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Borgmann Kevin S. CENTRAL INDEX KEY: 0001567914 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 241189804 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] ORGANIZATION NAME: 02 Finance 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 wk-form4_1723153122.xml FORM 4 X0508 4 2024-08-06 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001567914 Borgmann Kevin S. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Senior Advisor to the CEO 1 Common Stock 2024-08-06 4 M 0 23582 86.34 A 102466 D Common Stock 2024-08-06 4 S 0 3537 131.27 D 98929 D Common Stock 2024-08-06 4 S 0 3754 132.20 D 95175 D Common Stock 2024-08-06 4 S 0 16291 133.37 D 78884 D Common Stock 2024-08-06 4 S 0 2503 131.28 D 76381 D Common Stock 2024-08-06 4 S 0 2622 132.25 D 73759 D Common Stock 2024-08-06 4 S 0 11325 133.37 D 62434 D Common Stock 2024-08-06 4 S 0 1068 131.22 D 61366 D Common Stock 2024-08-06 4 S 0 1311 132.17 D 60055 D Common Stock 2024-08-06 4 S 0 5304 133.37 D 54751 D Common Stock 2024-08-06 4 S 0 2338 131.29 D 52413 D Common Stock 2024-08-06 4 S 0 2200 132.23 D 50213 D Common Stock 2024-08-06 4 S 0 9279 133.37 D 40934 D Stock Options 86.34 2024-08-06 4 M 0 23582 0 D 2027-02-02 Common Stock 23582 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $130.83 to $131.77. 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 $131.84 to $132.66. 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 $132.95 to $133.80. 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 $130.86 to $131.84. 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 $131.90 to $132.84. 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 $130.74 to $131.64. 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 $131.77 to $132.66. 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 $132.95 to $133.67. 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 $130.85 to $131.77. 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 $131.90 to $132.66. 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 $132.98 to $133.80. Information regarding the number of shares sold at each price will be provided upon request. These options became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. /s/ Jason S. Frank (POA on file) 2024-08-08