Frank G. LaPradeIII - Mar 1, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chief Enterprise Srvcs Officer
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Mar 1, 2023
Transactions value $
-$952,898
Form type
4
Date filed
3/3/2023, 03:05 PM
Previous filing
Feb 17, 2023
Next filing
Dec 14, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Award $0 +17.5K +22.62% $0.00 95K Mar 1, 2023 Direct F1
transaction COF Common Stock Tax liability -$953K -8.78K -9.24% $108.58 86.2K Mar 1, 2023 Direct F2
holding COF Common Stock 792 Mar 1, 2023 By 401(k) F3
* 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 30, 2020 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 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.
F3 Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.