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Name | Symbol | Market | Type |
---|---|---|---|
Capital One Financial Corporation | NYSE:COF-G | NYSE | Depository Receipt |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 25.00 | 0 | 01:00:00 |
1. Name and Address of Reporting Person * FAIRBANK RICHARD D | 2. Issuer Name and Ticker or Trading Symbol CAPITAL ONE FINANCIAL CORP [ COF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, CEO and President |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock (1) | 11/12/2020 | M | 40558 | A | $48.28 | 3643783 | D | |||
Common Stock (1) | 11/12/2020 | S | 25419 | D | $83.32 (2) | 3618364 | D | |||
Common Stock (1) | 11/12/2020 | S | 5786 | D | $84.07 (3) | 3612578 | D | |||
Common Stock (1) | 11/13/2020 | M | 40558 | A | $48.28 | 3653136 | D | |||
Common Stock (1) | 11/13/2020 | S | 25443 | D | $84.96 (4) | 3627693 | D | |||
Common Stock (1) | 11/13/2020 | S | 5457 | D | $85.46 (5) | 3622236 | D | |||
Common Stock (1) | 11/13/2020 | S | 150 | D | $86.80 (6) | 3622086 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (1) | $48.28 | 11/12/2020 | M | 40558 | 1/26/2014 | 1/25/2021 | Common Stock | 40558.0 | $0 | 40558 | D | ||||
Stock Options (1) | $48.28 | 11/13/2020 | M | 40558 | 1/26/2014 | 1/25/2021 | Common Stock | 40558.0 | $0 | 0 | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
FAIRBANK RICHARD D 1680 CAPITAL ONE DRIVE MCLEAN, VA 22102 | X | Chairman, CEO and President |
Signatures | ||
/s/ Cleo Belmonte (POA on file) | 11/16/2020 | |
**Signature of Reporting Person | Date |
1 Year Capital One Financial Chart |
1 Month Capital One Financial Chart |
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