Richard D. Fairbank - 03 Feb 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
03 Feb 2022
Net transactions value
$0
Form type
4
Filing time
07 Feb 2022, 15:34:33 UTC
Previous filing
31 Jan 2022
Next filing
17 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 $40,928 +276 +0.01% $148.29 3,759,129 03 Feb 2022 Direct F1
transaction COF Common Stock Options Exercise $27,582 +186 +0% $148.29 3,759,315 03 Feb 2022 Direct F1
transaction COF Common Stock Options Exercise $28,620 +193 +0.01% $148.29 3,759,508 03 Feb 2022 Direct F2
transaction COF Common Stock Options Exercise $25,061 +169 +0% $148.29 3,759,677 03 Feb 2022 Direct F2
transaction COF Common Stock Tax liability $40,928 -276 -0.01% $148.29 3,759,401 03 Feb 2022 Direct F1
transaction COF Common Stock Tax liability $27,582 -186 -0% $148.29 3,759,215 03 Feb 2022 Direct F1
transaction COF Common Stock Tax liability $28,620 -193 -0.01% $148.29 3,759,022 03 Feb 2022 Direct F2
transaction COF Common Stock Tax liability $25,061 -169 -0% $148.29 3,758,853 03 Feb 2022 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 2020 Restricted Stock Units Options Exercise $0 -276 -1.4% $0.000000 19,087 03 Feb 2022 Common Stock 276 $0.000000 Direct F1, F3
transaction COF Restricted Stock Units Options Exercise $0 -186 -1.1% $0.000000 16,757 03 Feb 2022 Common Stock 186 $0.000000 Direct F1, F4
transaction COF 2021 Restricted Stock Units Options Exercise $0 -193 -1.1% $0.000000 17,560 03 Feb 2022 Common Stock 193 $0.000000 Direct F2, F5
transaction COF Restricted Stock Units Options Exercise $0 -169 -1.1% $0.000000 15,365 03 Feb 2022 Common Stock 169 $0.000000 Direct F2, F6
transaction COF 2022 Restricted Stock Units Award $0 +20,231 $0.000000 20,231 03 Feb 2022 Common Stock 20,231 $0.000000 Direct F7, F8
transaction COF Restricted Stock Units Award $0 +16,859 $0.000000 16,859 03 Feb 2022 Common Stock 16,859 $0.000000 Direct F8, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.
F2 Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.
F3 Represents restricted stock units granted on January 30, 2020 for performance year 2019.
F4 Represents restricted stock units granted on January 30, 2020 for performance year 2020.
F5 Represents restricted stock units granted on February 4, 2021 for performance year 2020.
F6 Represents restricted stock units granted on February 4, 2021 for performance year 2021.
F7 Represents restricted stock units granted on February 3, 2022 for performance year 2021.
F8 Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.
F9 Represents restricted stock units granted on February 3, 2022 for performance year 2022.