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