-----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, KtvASqvMiqSKnsigqzcJmNBCLrQmp2I1yW6cRGfso0MPob37CVyNO/erbnKFZT4m KGsNjwL2vFFIbKYaGAd5qg== 0001181431-07-053607.txt : 20070822 0001181431-07-053607.hdr.sgml : 20070822 20070822163831 ACCESSION NUMBER: 0001181431-07-053607 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070820 FILED AS OF DATE: 20070822 DATE AS OF CHANGE: 20070822 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: 071073344 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 rrd170328.xml FORM 4 X0202 4 2007-08-20 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 2007-08-20 4 M 0 10739 16.25 A 2213870.00 D Common Stock 2007-08-20 4 S 0 100 65.5 D 2213770.00 D Common Stock 2007-08-20 4 S 0 100 65.51 D 2213670.00 D Common Stock 2007-08-20 4 S 0 100 65.64 D 2213570.00 D Common Stock 2007-08-20 4 S 0 100 65.71 D 2213470.00 D Common Stock 2007-08-20 4 S 0 100 65.73 D 2213370.00 D Common Stock 2007-08-20 4 S 0 100 65.76 D 2213270.00 D Common Stock 2007-08-20 4 S 0 100 65.81 D 2213170.00 D Common Stock 2007-08-20 4 S 0 200 65.98 D 2212970.00 D Common Stock 2007-08-20 4 S 0 100 65.99 D 2212870.00 D Common Stock 2007-08-20 4 S 0 300 66.01 D 2212570.00 D Common Stock 2007-08-20 4 S 0 100 66.02 D 2212470.00 D Common Stock 2007-08-20 4 S 0 100 66.03 D 2212370.00 D Common Stock 2007-08-20 4 S 0 100 66.08 D 2212270.00 D Common Stock 2007-08-20 4 S 0 100 66.11 D 2212170.00 D Common Stock 2007-08-20 4 S 0 200 66.13 D 2211970.00 D Common Stock 2007-08-20 4 S 0 100 66.14 D 2211870.00 D Common Stock 2007-08-20 4 S 0 100 66.15 D 2211770.00 D Common Stock 2007-08-20 4 S 0 300 66.16 D 2211470.00 D Common Stock 2007-08-20 4 S 0 100 66.17 D 2211370.00 D Common Stock 2007-08-20 4 S 0 100 66.19 D 2211270.00 D Common Stock 2007-08-20 4 S 0 200 66.22 D 2211070.00 D Common Stock 2007-08-20 4 S 0 100 66.23 D 2210970.00 D Common Stock 2007-08-20 4 S 0 100 66.33 D 2210870.00 D Common Stock 2007-08-20 4 S 0 200 66.34 D 2210670.00 D Common Stock 2007-08-20 4 S 0 100 66.36 D 2210570.00 D Common Stock 2007-08-20 4 S 0 300 66.37 D 2210270.00 D Common Stock 2007-08-20 4 S 0 100 66.38 D 2210170.00 D Common Stock 107502.00 I By Fairbank Morris Employee Stock Option (Right to Buy) 16.25 2007-08-20 4 M 0 10739 0 D 2007-12-17 COF 10739 96717 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 2007-08-22 -----END PRIVACY-ENHANCED MESSAGE-----