0001225208-16-043189.txt : 20161214 0001225208-16-043189.hdr.sgml : 20161214 20161214170200 ACCESSION NUMBER: 0001225208-16-043189 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161212 FILED AS OF DATE: 20161214 DATE AS OF CHANGE: 20161214 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAY LEWIS III CENTRAL INDEX KEY: 0001182705 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 162051684 MAIL ADDRESS: STREET 1: C/O NEXTERA ENERGY, INC. STREET 2: 700 UNIVERSE BLVD CITY: JUNO BEACH STATE: FL ZIP: 33408 4 1 doc4.xml X0306 4 2016-12-12 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001182705 HAY LEWIS III 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 Common Stock 2016-12-12 4 M 0 8929.0000 47.2900 A 50151.0000 D Common Stock 2016-12-12 4 M 0 3586.0000 74.7200 A 53737.0000 D Common Stock 2016-12-12 4 S 0 2000.0000 90.8400 D 51737.0000 D Common Stock 2016-12-12 4 S 0 10515.0000 90.3500 D 41222.0000 D Common Stock 1806.0000 I By Hay Family Limited Partnership Stock Options 47.2900 2016-12-12 4 M 0 8929.0000 0.0000 D 2009-04-24 2018-04-23 Common Stock 8929.0000 0.0000 D Stock Options 74.7200 2016-12-12 4 M 0 3586.0000 0.0000 D 2008-04-26 2017-04-25 Common Stock 3586.0000 0.0000 D This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, 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 $90.72 to $91.00. 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 $89.73 to $90.71. Information regarding the number of shares sold at each price will be provided upon request. Cleo Belmonte (POA on file) 2016-12-14