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Filing Details

Accession Number:: 0000927628-20-000297
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-11-05 16:24:51
Reporting Period:: 2020-11-03

Accepted Time:: 2020-11-05 16:24:51
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
927628	Capital One Financial Corp	COF	National Commercial Banks (6021)	541719854

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1238032	D Richard Fairbank	1680 Capital One Drive Mclean VA 22102	Chairman, Ceo And President	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-11-03	40,558	$48.28	3,590,797	No	4	M	Direct
Common Stock	Disposition	2020-11-03	10,833	$77.50	3,579,964	No	4	S	Direct
Common Stock	Disposition	2020-11-03	21,227	$78.38	3,558,737	No	4	S	Direct
Common Stock	Acquisiton	2020-11-04	40,558	$48.28	3,599,295	No	4	M	Direct
Common Stock	Disposition	2020-11-04	3,279	$73.97	3,596,016	No	4	S	Direct
Common Stock	Disposition	2020-11-04	7,208	$74.83	3,588,808	No	4	S	Direct
Common Stock	Disposition	2020-11-04	12,595	$76.07	3,576,213	No	4	S	Direct
Common Stock	Disposition	2020-11-04	9,408	$76.81	3,566,805	No	4	S	Direct
Common Stock	Disposition	2020-11-04	10,360	$0.00	3,556,445	No	5	G	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	5	G	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options	Disposition	2020-11-03	40,558	$0.00	40,558	$48.28
Common Stock	Stock Options	Disposition	2020-11-04	40,558	$0.00	40,558	$48.28

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
324,464	2014-01-26	2021-01-25	No	4	M	Direct
283,906	2014-01-26	2021-01-25	No	4	M	Direct

Footnotes

This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.99 to $77.93. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.06 to $78.80. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.46 to $74.44. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.46 to $75.40. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.46 to $76.44. Information regarding the number of shares sold at each price will be provided upon request.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.46 to $77.13. Information regarding the number of shares sold at each price will be provided upon request.