0000927628-23-000326.txt : 20231218 0000927628-23-000326.hdr.sgml : 20231218 20231218170941 ACCESSION NUMBER: 0000927628-23-000326 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LaPrade,III Frank G. CENTRAL INDEX KEY: 0001497948 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 231494651 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] ORGANIZATION NAME: 02 Finance 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_1702937372.xml FORM 4 X0508 4 2023-12-14 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001497948 LaPrade,III Frank G. 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 Chief Enterprise Srvcs Officer 1 Common Stock 2023-12-14 4 M 0 27955 86.34 A 82946 D Common Stock 2023-12-14 4 S 0 27955 130 D 54991 D Common Stock 2023-12-14 4 S 0 11805 130 D 43186 D Common Stock 808 I By 401(k) Stock Options 86.34 2023-12-14 4 M 0 27955 0 D 2027-02-02 Common Stock 27955 0 D This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2023. in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction. This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2023-12-18