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COF Capital One Financial Corporation

143.33
0.92 (0.65%)
After Hours
Last Updated: 00:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Capital One Financial Corporation NYSE:COF NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.92 0.65% 143.33 144.60 142.83 143.43 1,493,572 00:00:00

Statement of Changes in Beneficial Ownership (4)

22/12/2020 9:10pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

LaPrade,III Frank G.
2. Issuer Name and Ticker or Trading Symbol

CAPITAL ONE FINANCIAL CORP [ COF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Enterprise Srvcs Officer
(Last)          (First)          (Middle)

1680 CAPITAL ONE DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

12/21/2020
(Street)

MCLEAN, VA 22102
(City)        (State)        (Zip)
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)12/21/2020  M  32603 A$56.32 84110 D  
Common Stock (1)12/21/2020  S  32603 D$95 51507 D  
Common Stock         762 (2)I By 401(k) 

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options (1)$56.32 12/21/2020  M     32603   (3)1/30/2023 Common Stock 32603.0 $0 0 D  

Explanation of Responses:
(1) This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
(2) 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.
(3) This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
LaPrade,III Frank G.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102


Chief Enterprise Srvcs Officer

Signatures
/s/ Cleo Belmonte (POA on file)12/22/2020
**Signature of Reporting PersonDate

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