Michael Slocum - 27 Jul 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
President, Commercial Banking
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
27 Jul 2021
Net transactions value
-$4,770,906
Form type
4
Filing time
29 Jul 2021, 16:19:42 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 $1,731,708 +24,404 +43% $70.96 81,092 27 Jul 2021 Direct
transaction COF Common Stock Options Exercise $2,204,798 +29,413 +36% $74.96 110,505 27 Jul 2021 Direct
transaction COF Common Stock Sale $7,100,940 -43,917 -40% $161.69 66,588 27 Jul 2021 Direct F1
transaction COF Common Stock Sale $1,606,473 -9,900 -15% $162.27 56,688 27 Jul 2021 Direct F2

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 -24,404 -100% $0.000000* 0 27 Jul 2021 Common Stock 24,404 $70.96 Direct F3
transaction COF Stock Options Options Exercise $0 -29,413 -100% $0.000000* 0 27 Jul 2021 Common Stock 29,413 $74.96 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request.
F3 This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.
F4 This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.