0000927628-18-000156.txt : 20180404
0000927628-18-000156.hdr.sgml : 20180404
20180404161159
ACCESSION NUMBER: 0000927628-18-000156
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180402
FILED AS OF DATE: 20180404
DATE AS OF CHANGE: 20180404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WARNER BRADFORD H
CENTRAL INDEX KEY: 0001195086
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13300
FILM NUMBER: 18737313
MAIL ADDRESS:
STREET 1: FLEETBOSTON FINANCIAL CORP
STREET 2: 100 FEDERAL STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
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_152287267862704.xml
FORM 4
X0306
4
2018-04-02
0
0000927628
CAPITAL ONE FINANCIAL CORP
COF
0001195086
WARNER BRADFORD H
1680 CAPITAL ONE DRIVE
MCLEAN
VA
22102
1
0
0
0
Common Stock
2018-04-02
4
M
0
3000
16.93
A
53085
D
Common Stock
2018-04-02
4
S
0
2200
94.89
D
50885
D
Common Stock
2018-04-02
4
S
0
800
95.49
D
50085
D
Common Stock
140
I
By Wife
Stock Options
16.93
2018-04-02
4
M
0
3000
0
D
2010-04-23
2019-04-22
Common Stock
3000.0
4229
D
This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, 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 $94.34 to $95.31. 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 $95.35 to $95.57. Information regarding the number of shares sold at each price will be provided upon request.
Exhibit 24.1 - Power of Attorney - Warner
Polly N. Klane (POA on file)
2018-04-04
EX-24
2
poawarner.txt
EXHIBIT 24.1 - POWER OF ATTORNEY - WARNER
Exhibit 24.1
POWER OF ATTORNEY
The undersigned hereby constitutes and appoints Matthew W. Cooper,
Polly N. Klane and Cleo Belmonte, each of them, as the true and lawful
attorneys-in-fact (with full power of substitution and revocation in
each) to:
(1) execute, for and on behalf of the undersigned, any and all
statements and reports required or permitted to be filed by the
undersigned, in any and all capacities, under Section 16(a) of the
Securities Exchange Act of 1934, as amended, and the rules promulgated
thereunder (the "Act") with respect to the beneficial ownership of the
securities of Capital One Financial Corporation (the "Company"),
including without limitation Forms 3, 4, 5, and Form 144 required to be
filed by the undersigned under Rule 144 of the Securities Act of 1933, as
amended;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and execute
any such statements and reports and file such statements and reports,
with all amendments, supplements and exhibits thereto, with the
Securities and Exchange Commission, the New York Stock Exchange and/or
any other stock exchange or any similar authority and to deliver copies
thereof to the Company;
(3) take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such attorney-in-fact, may be
of benefit to, in the best interest of, or legally required by, the
undersigned, it being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant to this Power of
Attorney shall be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in his or her discretion;
and
(4) request and receive from any broker (i) periodic reports
detailing the undersigned's retail holdings of the Company's securities
held in his or her account(s) and (ii) confirmations of acquisitions or
dispositions of the Company's securities, or other derivative instruments
based on any of the Company's equity, effected by such broker in or
through his or her account(s), with no obligation to receive further
approval from the undersigned for such request(s).
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform any and every act and thing
whatsoever required, necessary, or proper to be done in the exercise of
any of the rights and powers herein granted, as fully as the undersigned
could do if personally present, with full power of substitution or
revocation, and hereby ratifies and confirms all that such attorneys-in-
fact shall lawfully do or cause to be done by virtue of this Power of
Attorney. The undersigned acknowledges that the foregoing attorneys-in-
fact, acting in such capacity at the request of the undersigned, are not
assuming, nor is the Company assuming, any of the undersigned's
responsibilities to comply with Section 16 of the Act.
This Power of Attorney revokes all prior Powers of Attorney
submitted to the Company with respect to the matters expressed herein,
and shall remain in full force and effect until the undersigned is no
longer required to file statements or reports under Section 16(a) of the
Act with respect to holdings of and transactions in securities issued by
the Company, unless earlier revoked by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of
Attorney to be executed as of this 1st day of February 2018.
/s/ Bradford H. Warner
Name: Bradford H. Warner
ACKNOWLEDGEMENT FOR POWER OF ATTORNEY
STATE OF Virginia )
) ss.
CITY/COUNTY OF Fairfax )
The foregoing instrument was acknowledged before me this 1st day of
February, 2018 by Bradford H. Warner.
/s/ Jamie N. Sklaney
Notary Public
(SEAL)
My commission expires 10/31/2020.