Richard D. Fairbank - Jan 26, 2023 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
Jan 26, 2023
Transactions value $
$0
Form type
4
Date filed
1/30/2023, 04:12 PM
Previous filing
Nov 15, 2022
Next filing
Feb 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $33.7K +290 +0.01% $116.07 3.76M Jan 26, 2023 Direct F1, F2
transaction COF Common Stock Options Exercise $19.6K +169 +0% $116.07 3.76M Jan 26, 2023 Direct F1
transaction COF Common Stock Options Exercise $25.5K +220 +0.01% $116.07 3.76M Jan 26, 2023 Direct F3
transaction COF Common Stock Options Exercise $21.2K +183 +0% $116.07 3.76M Jan 26, 2023 Direct F3
transaction COF Common Stock Tax liability -$33.7K -290 -0.01% $116.07 3.76M Jan 26, 2023 Direct F1
transaction COF Common Stock Tax liability -$19.6K -169 0% $116.07 3.76M Jan 26, 2023 Direct F1
transaction COF Common Stock Tax liability -$25.5K -220 -0.01% $116.07 3.76M Jan 26, 2023 Direct F3
transaction COF Common Stock Tax liability -$21.2K -183 0% $116.07 3.76M Jan 26, 2023 Direct F3

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 2021 Restricted Stock Units Options Exercise $0 -290 -1.65% $0.00 17.3K Jan 26, 2023 Common Stock 290 $0.00 Direct F1, F4
transaction COF Restricted Stock Units Options Exercise $0 -169 -1.1% $0.00 15.2K Jan 26, 2023 Common Stock 169 $0.00 Direct F1, F5
transaction COF 2022 Restricted Stock Units Options Exercise $0 -220 -1.09% $0.00 20K Jan 26, 2023 Common Stock 220 $0.00 Direct F3, F6
transaction COF Restricted Stock Units Options Exercise $0 -183 -1.09% $0.00 16.7K Jan 26, 2023 Common Stock 183 $0.00 Direct F3, F7
transaction COF 2023 Restricted Stock Units Award $0 +24.6K $0.00 24.6K Jan 26, 2023 Common Stock 24.6K $0.00 Direct F8, F9
transaction COF Restricted Stock Units Award $0 +21.5K $0.00 21.5K Jan 26, 2023 Common Stock 21.5K $0.00 Direct F9, F10
* 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 February 2021 which settled in cash based on fair market value on January 26, 2023, 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 Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3 Represents the automatic withholding of restricted stock units granted in February 2022 which settled in cash based on fair market value on January 26, 2023, 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.
F4 Represents restricted stock units granted on February 4, 2021 for performance year 2020.
F5 Represents restricted stock units granted on February 4, 2021 for performance year 2021.
F6 Represents restricted stock units granted on February 3, 2022 for performance year 2021.
F7 Represents restricted stock units granted on February 3, 2022 for performance year 2022.
F8 Represents restricted stock units granted January 26, 2023 for performance year 2022.
F9 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.
F10 Represents restricted stock units granted January 26, 2023 for performance year 2023.