Richard D. Fairbank - 15 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
15 Feb 2022
Net transactions value
-$8,293,388
Form type
4
Filing time
17 Feb 2022, 15:13:55 UTC
Previous filing
07 Feb 2022
Next filing
27 Jul 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 $0 +21,094 +0.56% $0.000000 3,779,947 15 Feb 2022 Direct F1
transaction COF Common Stock Options Exercise $0 +33,891 +0.9% $0.000000 3,813,838 15 Feb 2022 Direct F1
transaction COF Common Stock Disposed to Issuer $3,181,608 -21,094 -0.55% $150.83 3,792,744 15 Feb 2022 Direct F1
transaction COF Common Stock Disposed to Issuer $5,111,780 -33,891 -0.89% $150.83 3,758,853 15 Feb 2022 Direct F1

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 Restricted Stock Units Options Exercise $0 -21,094 -100% $0.000000* 0 15 Feb 2022 Common Stock 21,094 $0.000000 Direct F1, F2
transaction COF 2019 Restricted Stock Units Options Exercise $0 -33,891 -100% $0.000000* 0 15 Feb 2022 Common Stock 33,891 $0.000000 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On February 15, 2022, the restricted stock units were settled in cash based on the Company's average fair market values of shares of common stock over the fifteen trading days preceding the vesting date.
F2 The restricted stock units vested in full on February 15, 2022.