Statement of Changes in Beneficial Ownership (4)
June 03 2021 - 4:19PM
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
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
LaPrade,III Frank G. |
2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP
[
COF
]
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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 |
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(Last)
(First)
(Middle)
1680 CAPITAL ONE DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2021 |
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(Street)
MCLEAN, VA 22102
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock (1) | 6/1/2021 | | M | | 32420 | A | $63.73 | 88727 | D | |
| Common Stock (1) | 6/1/2021 | | S | | 19598 | D | $164.45 (2) | 69129 | D | |
| Common Stock (1) | 6/1/2021 | | S | | 12822 | D | $165.16 (3) | 56307 | D | |
| Common Stock | | | | | | | | 755 (4) | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | $63.73 | 6/1/2021 | | M | | | 32420 | (5) | 2/3/2026 | Common Stock | 32420.0 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
| (2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.85 to $164.84. Information regarding the number of shares sold at each price will be provided upon request. |
| (3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.85 to $165.61. Information regarding the number of shares sold at each price will be provided upon request. |
| (4) | 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. |
| (5) | This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
LaPrade,III Frank G.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102 |
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| Chief Enterprise Srvcs Officer |
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Signatures
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| /s/ Cleo Belmonte (POA on file) | | 6/3/2021 |
| **Signature of Reporting Person | Date |
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