Jory A. Berson - 07 Jun 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chief Human Resources Officer
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
07 Jun 2021
Net transactions value
-$2,177,040
Form type
4
Filing time
09 Jun 2021, 16:45:23 UTC
Next filing
07 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $1,840,423 +21,316 +39% $86.34 75,607 07 Jun 2021 Direct F1, F2
transaction COF Common Stock Sale $2,043,294 -12,450 -16% $164.12 63,157 07 Jun 2021 Direct F1, F3
transaction COF Common Stock Sale $1,974,169 -11,985 -19% $164.72 51,172 07 Jun 2021 Direct F1, F4
holding COF Common Stock 7,034 07 Jun 2021 By 401(k) F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction COF Stock Options Options Exercise $0 -21,316 -100% $0.000000* 0 07 Jun 2021 Common Stock 21,316 $86.34 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.50 to $164.47. Information regarding the number of shares sold at each price will be provided upon request.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.50 to $165.23. Information regarding the number of shares sold at each price will be provided upon request.
F5 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.
F6 This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.