Form 144

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

   OMB APPROVAL
  OMB Number:   3235-0101
  Expires:   December 31, 2007
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  hours per response   4.47

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

   SEC USE ONLY
 
 

DOCUMENT SEQUENCE NO.        

 

ATTENTION:   Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

   CUSIP NUMBER
   

WORK LOCATION

 

1(a) NAME OF ISSUER (Please type or print)

 

Capital One Financial Corporation

  

(b) IRS IDENT. NO.

 

54-1719854

         

(c) S.E.C. FILE NO.

 

1-13300

1(d) ADDRESS OF ISSUER    STREET   

CITY

    STATE    ZIP CODE       (e) TELEPHONE NO.
   1680 Capital One Drive   

McLean

    VA    22102   AREA CODE    NUMBER
                  703    720-1000

2(a) NAME OF PERSON FOR WHOSE

        ACCOUNT THE SECURITIES

        ARE TO BE SOLD

 

      Patrick W. Gross

   

(b) IRS IDENT. NO.

 

 

 

             N/A

  

(c) RELATIONSHIP

      TO ISSUER

 

 

DIRECTOR

   

(d) ADDRESS

 

 

1680 Capital One Drive

   

STREET

 

   

CITY

 

 

 

McLean

   

STATE

 

 

 

VA

   

ZIP CODE

 

 

 

22102

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3(a)

    (b)    SEC USE ONLY    (c)    (d)    (e)    (f)    (g)

Title of the

Class of

Securities

To Be Sold

   

Name and Address of Each Broker

Through Whom the Securities are

to be Offered or Each Market

Maker who is Acquiring

the Securities

   

Broker-Dealer

File Number

   

Number of Shares

or Other Units

To Be Sold

(See Instr. 3(c))

   

Aggregate

Market Value

(See Instr. 3(d))

  

Number of Shares

or Other Units

Outstanding

(See Instr. 3(e))

   

Approximate

Date of Sale

(See Instr. 3(f))

(MO. DAY YR.)

   

Name of Each

Securities

Exchange

(See Instr. 3(g))

Common Stock

   

E* Trade Financial

1095 White Rock Road

Rancho Cordova, CA 95670

         11,000   

$560,890

@12/10/2007

   

418,512,173

@10/31/07

   

Various Pursuant to

10b5-1 plan

    NYSE

INSTRUCTIONS:

 

1.

   (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

  

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

   (a)   Name of person for whose account the securities are to be sold
 

(b)

 

   Such person’s I.R.S. identification number, if such person is an entity
  (c)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
  (d)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e)  

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

Approximate date on which the securities are to be sold

  (f)  
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold

Potential Persons who are to respond to the collection of information contained in this form are not required to respond unless the display a currently valid OMB control number.

TABLE I—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

  

Date you

Acquired

   Nature of Acquisition Transaction  

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

   Amount of
Securities Acquired		   Date of
Payment		   Nature of
Payment
Common Stock

 

 

   Various   Exercise of
Options granted
by Capital One		   Capital One
Financial Corporation		   11,000   Various   Cash
INSTRUCTIONS:    If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller   Title of Securities Sold   Date of Sale   Amount of
Securities Sold		   Gross Proceeds
                 

REMARKS:

The Shares being covered by this Form 144 are being sold pursuant to a 10b5-1 sales plan dated as of November 14, 2007; and the representation below regarding the seller’s knowledge of material information speaks as of that plan’s adoption date.

 

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.

12/11/2007

DATE OF NOTICE

  

/s/ Patrick W. Gross

(SIGNATURE)

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.

Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)