0000927628-22-000322.txt : 20221115 0000927628-22-000322.hdr.sgml : 20221115 20221115160640 ACCESSION NUMBER: 0000927628-22-000322 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221110 FILED AS OF DATE: 20221115 DATE AS OF CHANGE: 20221115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAIRBANK RICHARD D CENTRAL INDEX KEY: 0001238032 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 221391220 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_166854637815466.xml FORM 4 X0306 4 2022-11-10 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238032 FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 1 0 0 Chairman and CEO Common Stock 2022-11-10 4 M 0 12537 56.32 A 3769559 D Common Stock 2022-11-10 4 S 0 4220 107.73 D 3765339 D Common Stock 2022-11-10 4 S 0 8317 108.60 D 3757022 D Common Stock 2022-11-11 4 M 0 12537 56.32 A 3769559 D Common Stock 2022-11-11 4 S 0 2740 114.73 D 3766819 D Common Stock 2022-11-11 4 S 0 8900 115.88 D 3757919 D Common Stock 2022-11-11 4 S 0 897 116.49 D 3757022 D Common Stock 2022-11-14 4 M 0 12537 56.32 A 3769559 D Common Stock 2022-11-14 4 S 0 12537 114.77 D 3757022 D Stock Options 56.32 2022-11-10 4 M 0 12537 0 D 2016-02-10 2023-01-30 Common Stock 12537.0 25074 D Stock Options 56.32 2022-11-11 4 M 0 12537 0 D 2016-02-10 2023-01-30 Common Stock 12537.0 12537 D Stock Options 56.32 2022-11-14 4 M 0 12537 0 D 2016-02-10 2023-01-30 Common Stock 12537.0 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $107.23 to $108.20. 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 $108.30 to $109.01. 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 $114.25 to $115.22. 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 $115.40 to $116.37. 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 $116.41 to $116.68. 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 $114.40 to $115.28. Information regarding the number of shares sold at each price will be provided upon request. /s/ Cleo Belmonte (POA on file) 2022-11-15