0001950047-23-004641.txt : 20231031 0001950047-23-004641.hdr.sgml : 20231031 20231031163110 ACCESSION NUMBER: 0001950047-23-004641 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231031 DATE AS OF CHANGE: 20231031 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 231365126 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: COMPANY DATA: COMPANY CONFORMED NAME: FAIRBANK RICHARD D CENTRAL INDEX KEY: 0001238032 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 144 1 primary_doc.xml 144 0001238032 XXXXXXXX LIVE 0000927628 CAPITAL ONE FINANCIAL CORPORATION 001-13300 1680 Capital One Drive McLean VA 22102 (703) 720-1000 RICHARD D FAIRBANK Officer Director Common Morgan Stanley Smith Barney LLC Executive Financial Services

1 New York Plaza 38th Floor New York NY 10004

3891 392524.08 381441449 10/31/2023 NYSE COMMON 10/31/2023 Stock Option Exercise ISSUER N 3891 10/31/2023 Cash N RICHARD D FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 10/30/2023 3891 383730.42 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/14/2023 3891 425986.68 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/11/2023 3891 428010.00 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/10/2023 3891 438282.24 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/09/2023 3891 443885.28 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/08/2023 3891 437076.03 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/07/2023 3891 443963.10 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/04/2023 3891 438048.78 RICHARD FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/03/2023 3891 438943.71 RICHARD D FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/02/2023 3891 446453.34 RICHARD D FAIRBANK

1680 Capital One Drive McLean VA 22102

Common 08/01/2023 3891 452134.20 10/31/2023 02/10/2023 /s/ Richard D. Fairbank