Richard D. Fairbank - 15 Feb 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
15 Feb 2023
Net transactions value
-$4,210,595
Form type
4
Filing time
17 Feb 2023, 15:06:21 UTC
Previous filing
30 Jan 2023
Next filing
03 Mar 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 $0 +19,087 +0.51% $0.000000 3,776,116 15 Feb 2023 Direct F1
transaction COF Common Stock Options Exercise $0 +16,757 +0.44% $0.000000 3,792,873 15 Feb 2023 Direct F1
transaction COF Common Stock Disposed to Issuer $2,242,150 -19,087 -0.5% $117.47 3,773,786 15 Feb 2023 Direct F1
transaction COF Common Stock Disposed to Issuer $1,968,445 -16,757 -0.44% $117.47 3,757,029 15 Feb 2023 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 2020 Restricted Stock Units Options Exercise $0 -19,087 -100% $0.000000* 0 15 Feb 2023 Common Stock 19,087 $0.000000 Direct F1, F2
transaction COF Restricted Stock Units Options Exercise $0 -16,757 -100% $0.000000* 0 15 Feb 2023 Common Stock 16,757 $0.000000 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On February 15, 2023, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.
F2 Represents restricted stock units granted on January 30, 2020 for performance year 2019.
F3 Represents restricted stock units granted on January 30, 2020 for performance year 2020.