-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RLir1VQgev+TjHBhWNrPQqjGcbZnkfmmXGSAflF2iCWtd3Iv7c7Dnk77M3sWlwap iYZ8136FY0MfgrAc9pM+mw== 0001181431-07-044007.txt : 20070703 0001181431-07-044007.hdr.sgml : 20070703 20070703160555 ACCESSION NUMBER: 0001181431-07-044007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070629 FILED AS OF DATE: 20070703 DATE AS OF CHANGE: 20070703 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] 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 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: 07960941 BUSINESS ADDRESS: STREET 1: CAPITAL ONE FINANICAL CORP STREET 2: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 4 1 rrd164955.xml FORM 4 X0202 4 2007-06-29 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001238032 FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 1 1 0 0 Chairman, CEO and President Common Stock 2007-06-29 4 M 0 10739 16.25 A 2216677.00 D Common Stock 2007-06-29 4 S 0 100.00 78.01 D 2216577.00 D Common Stock 2007-06-29 4 S 0 100.00 78.05 D 2216477.00 D Common Stock 2007-06-29 4 S 0 100.00 78.07 D 2216377.00 D Common Stock 2007-06-29 4 S 0 100.00 78.08 D 2216277.00 D Common Stock 2007-06-29 4 S 0 400.00 78.09 D 2215877.00 D Common Stock 2007-06-29 4 S 0 100.00 78.11 D 2215777.00 D Common Stock 2007-06-29 4 S 0 100.00 78.12 D 2215677.00 D Common Stock 2007-06-29 4 S 0 100.00 78.22 D 2215577.00 D Common Stock 2007-06-29 4 S 0 100.00 78.23 D 2215477.00 D Common Stock 2007-06-29 4 S 0 300.00 78.24 D 2215177.00 D Common Stock 2007-06-29 4 S 0 100.00 78.26 D 2215077.00 D Common Stock 2007-06-29 4 S 0 100.00 78.27 D 2214977.00 D Common Stock 2007-06-29 4 S 0 200.00 78.29 D 2214777.00 D Common Stock 2007-06-29 4 S 0 100.00 78.3 D 2214677.00 D Common Stock 2007-06-29 4 S 0 100.00 78.31 D 2214577.00 D Common Stock 2007-06-29 4 S 0 100.00 78.32 D 2214477.00 D Common Stock 2007-06-29 4 S 0 100.00 78.35 D 2214377.00 D Common Stock 2007-06-29 4 S 0 139.00 78.41 D 2214238.00 D Common Stock 2007-06-29 4 S 0 100.00 78.58 D 2214138.00 D Common Stock 2007-06-29 4 S 0 200.00 78.61 D 2213938.00 D Common Stock 2007-06-29 4 S 0 100.00 78.62 D 2213838.00 D Common Stock 2007-06-29 4 S 0 100.00 78.63 D 2213738.00 D Common Stock 2007-06-29 4 S 0 100.00 78.65 D 2213638.00 D Common Stock 2007-06-29 4 S 0 100.00 78.67 D 2213538.00 D Common Stock 2007-06-29 4 S 0 200.00 78.69 D 2213338.00 D Common Stock 2007-06-29 4 S 0 100.00 78.7 D 2213238.00 D Common Stock 2007-06-29 4 S 0 100.00 78.73 D 2213138.00 D Common Stock 107502.00 I By Fairbank Morris Employee Stock Option (Right to Buy) 16.25 2007-06-29 4 M 0 10739 0 D 2007-12-17 COF 10739 472582 D This transaction was executed pursuant to a trading plan entered into by the Reporting Person on February 1, 2007, in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period. This requirement had to be satisfied on or before the third anniversary of the grant date of this option. /s/ Tangela S. Richter (POA) on file for Richard D. Fairbank 2007-07-03 -----END PRIVACY-ENHANCED MESSAGE-----