Richard D. Fairbank - Feb 3, 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Feb 3, 2022
Transactions value $
$0
Form type
4
Date filed
2/7/2022, 03:34 PM
Previous filing
Jan 31, 2022
Next filing
Feb 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $40.9K +276 +0.01% $148.29 3.76M Feb 3, 2022 Direct F1
transaction COF Common Stock Options Exercise $27.6K +186 +0% $148.29 3.76M Feb 3, 2022 Direct F1
transaction COF Common Stock Options Exercise $28.6K +193 +0.01% $148.29 3.76M Feb 3, 2022 Direct F2
transaction COF Common Stock Options Exercise $25.1K +169 +0% $148.29 3.76M Feb 3, 2022 Direct F2
transaction COF Common Stock Tax liability -$40.9K -276 -0.01% $148.29 3.76M Feb 3, 2022 Direct F1
transaction COF Common Stock Tax liability -$27.6K -186 0% $148.29 3.76M Feb 3, 2022 Direct F1
transaction COF Common Stock Tax liability -$28.6K -193 -0.01% $148.29 3.76M Feb 3, 2022 Direct F2
transaction COF Common Stock Tax liability -$25.1K -169 0% $148.29 3.76M Feb 3, 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 -1.43% $0.00 19.1K Feb 3, 2022 Common Stock 276 $0.00 Direct F1, F3
transaction COF Restricted Stock Units Options Exercise $0 -186 -1.1% $0.00 16.8K Feb 3, 2022 Common Stock 186 $0.00 Direct F1, F4
transaction COF 2021 Restricted Stock Units Options Exercise $0 -193 -1.09% $0.00 17.6K Feb 3, 2022 Common Stock 193 $0.00 Direct F2, F5
transaction COF Restricted Stock Units Options Exercise $0 -169 -1.09% $0.00 15.4K Feb 3, 2022 Common Stock 169 $0.00 Direct F2, F6
transaction COF 2022 Restricted Stock Units Award $0 +20.2K $0.00 20.2K Feb 3, 2022 Common Stock 20.2K $0.00 Direct F7, F8
transaction COF Restricted Stock Units Award $0 +16.9K $0.00 16.9K Feb 3, 2022 Common Stock 16.9K $0.00 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.