0000927628-23-000300.txt : 20231107 0000927628-23-000300.hdr.sgml : 20231107 20231107163254 ACCESSION NUMBER: 0000927628-23-000300 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231103 FILED AS OF DATE: 20231107 DATE AS OF CHANGE: 20231107 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: 231384448 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 wk-form4_1699392764.xml FORM 4 X0508 4 2023-11-03 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 1 Common Stock 2023-11-03 4 M 0 3891 70.96 A 3852303 D Common Stock 2023-11-03 4 S 0 3891 105.87 D 3848412 D Common Stock 2023-11-06 4 M 0 3891 70.96 A 3852303 D Common Stock 2023-11-06 4 S 0 3891 106.10 D 3848412 D Common Stock 2023-11-07 4 M 0 3891 70.96 A 3852303 D Common Stock 2023-11-07 4 S 0 3891 104.84 D 3848412 D Stock Options 70.96 2023-11-03 4 M 0 3891 0 D 2017-02-15 2024-01-29 Common Stock 3891 27233 D Stock Options 70.96 2023-11-06 4 M 0 3891 0 D 2017-02-15 2024-01-29 Common Stock 3891 23342 D Stock Options 70.96 2023-11-07 4 M 0 3891 0 D 2017-02-15 2024-01-29 Common Stock 3891 19451 D This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. /s/ Jason S. Frank (POA on file) 2023-11-07