Richard D. Fairbank - 26 Jan 2023 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
26 Jan 2023
Net transactions value
$0
Form type
4
Filing time
30 Jan 2023, 16:12:32 UTC
Previous filing
15 Nov 2022
Next filing
17 Feb 2023
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 $33,660 +290 +0.01% $116.07 3,757,319 26 Jan 2023 Direct F1, F2
transaction COF Common Stock Options Exercise $19,616 +169 +0% $116.07 3,757,488 26 Jan 2023 Direct F1
transaction COF Common Stock Options Exercise $25,535 +220 +0.01% $116.07 3,757,708 26 Jan 2023 Direct F3
transaction COF Common Stock Options Exercise $21,241 +183 +0% $116.07 3,757,891 26 Jan 2023 Direct F3
transaction COF Common Stock Tax liability $33,660 -290 -0.01% $116.07 3,757,601 26 Jan 2023 Direct F1
transaction COF Common Stock Tax liability $19,616 -169 -0% $116.07 3,757,432 26 Jan 2023 Direct F1
transaction COF Common Stock Tax liability $25,535 -220 -0.01% $116.07 3,757,212 26 Jan 2023 Direct F3
transaction COF Common Stock Tax liability $21,241 -183 -0% $116.07 3,757,029 26 Jan 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 -1.7% $0.000000 17,270 26 Jan 2023 Common Stock 290 $0.000000 Direct F1, F4
transaction COF Restricted Stock Units Options Exercise $0 -169 -1.1% $0.000000 15,196 26 Jan 2023 Common Stock 169 $0.000000 Direct F1, F5
transaction COF 2022 Restricted Stock Units Options Exercise $0 -220 -1.1% $0.000000 20,011 26 Jan 2023 Common Stock 220 $0.000000 Direct F3, F6
transaction COF Restricted Stock Units Options Exercise $0 -183 -1.1% $0.000000 16,676 26 Jan 2023 Common Stock 183 $0.000000 Direct F3, F7
transaction COF 2023 Restricted Stock Units Award $0 +24,555 $0.000000 24,555 26 Jan 2023 Common Stock 24,555 $0.000000 Direct F8, F9
transaction COF Restricted Stock Units Award $0 +21,539 $0.000000 21,539 26 Jan 2023 Common Stock 21,539 $0.000000 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.