0000927628-19-000340.txt : 20191203 0000927628-19-000340.hdr.sgml : 20191203 20191203160757 ACCESSION NUMBER: 0000927628-19-000340 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191129 FILED AS OF DATE: 20191203 DATE AS OF CHANGE: 20191203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Borgmann Kevin S. CENTRAL INDEX KEY: 0001567914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 191265895 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_157540725938037.xml FORM 4 X0306 4 2019-11-29 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 Common Stock 2019-11-29 4 M 0 22135 70.96 A 78944 D Common Stock 2019-11-29 4 M 0 31060 74.96 A 110004 D Common Stock 2019-11-29 4 M 0 9559 63.73 A 119563 D Common Stock 2019-11-29 4 S 0 78695 99.92 D 40868 D Stock Options 70.96 2019-11-29 4 M 0 22135 0 D 2024-01-29 Common Stock 22135.0 0 D Stock Options 74.96 2019-11-29 4 M 0 31060 0 D 2025-01-28 Common Stock 31060.0 0 D Stock Options 63.73 2019-11-29 4 M 0 9559 0 D 2026-02-03 Common Stock 9559.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on October 28, 2019, 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 $99.52 to $100.24. Information regarding the number of shares sold at each price will be provided upon request. This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Cleo Belmonte (POA on file) 2019-12-03