0000927628-17-000304.txt : 20171206 0000927628-17-000304.hdr.sgml : 20171206 20171206202456 ACCESSION NUMBER: 0000927628-17-000304 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171204 FILED AS OF DATE: 20171206 DATE AS OF CHANGE: 20171206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sanjiv Yajnik CENTRAL INDEX KEY: 0001466919 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 171243327 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_151260988241098.xml FORM 4 X0306 4 2017-12-04 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001466919 Sanjiv Yajnik 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 President, Financial Services Common Stock 2017-12-04 4 M 0 37204 48.28 A 207418 D Common Stock 2017-12-04 4 S 0 30652 95 D 176766 D Stock Options 48.28 2017-12-04 4 M 0 37204 0 D 2021-01-25 Common Stock 37204.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Cleo Belmonte (POA on file) 2017-12-06