Sanjiv Yajnik - Mar 11, 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
President, Financial Services
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Mar 11, 2022
Transactions value $
-$1,926,633
Form type
4
Date filed
3/15/2022, 04:13 PM
Previous filing
Feb 17, 2022
Next filing
May 20, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Award $0 +32.8K +53.76% $0.00 93.9K Mar 11, 2022 Direct F1, F2, F3
transaction COF Common Stock Tax liability -$1.93M -14.8K -15.77% $130.09 79.1K Mar 11, 2022 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
F2 Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
F3 The number of shares reported as direct holdings reflects the correction of a past understatement of 3 shares arising from an administrative error.
F4 These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.