Richard D. Fairbank - 01 Feb 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Jason S. Frank (POA on file)
Issuer symbol
COF
Transactions as of
01 Feb 2024
Net transactions value
$0
Form type
4
Filing time
05 Feb 2024, 16:53:50 UTC
Previous filing
14 Nov 2023
Next filing
20 Feb 2024
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 $29,603 +220 +0.01% $134.56 3,848,638 01 Feb 2024 Direct F1, F2
transaction COF Common Stock Options Exercise $36,600 +272 +0.01% $134.56 3,848,910 01 Feb 2024 Direct F1
transaction COF Common Stock Options Exercise $35,928 +267 +0.01% $134.56 3,849,177 01 Feb 2024 Direct F3
transaction COF Common Stock Options Exercise $31,487 +234 +0.01% $134.56 3,849,411 01 Feb 2024 Direct F3
transaction COF Common Stock Tax liability $29,603 -220 -0.01% $134.56 3,849,191 01 Feb 2024 Direct F1
transaction COF Common Stock Tax liability $36,600 -272 -0.01% $134.56 3,848,919 01 Feb 2024 Direct F1
transaction COF Common Stock Tax liability $35,928 -267 -0.01% $134.56 3,848,652 01 Feb 2024 Direct F3
transaction COF Common Stock Tax liability $31,487 -234 -0.01% $134.56 3,848,418 01 Feb 2024 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 2022 Restricted Stock Units Options Exercise $0 -220 -1.1% $0.000000 19,791 01 Feb 2024 Common Stock 220 $0.000000 Direct F1, F4
transaction COF Restricted Stock Units Options Exercise $0 -272 -1.6% $0.000000 16,404 01 Feb 2024 Common Stock 272 $0.000000 Direct F1, F5
transaction COF 2023 Restricted Stock Units Options Exercise $0 -267 -1.1% $0.000000 24,288 01 Feb 2024 Common Stock 267 $0.000000 Direct F3, F6
transaction COF Restricted Stock Units Options Exercise $0 -234 -1.1% $0.000000 21,305 01 Feb 2024 Common Stock 234 $0.000000 Direct F3, F7
transaction COF 2024 Restricted Stock Units Award $0 +34,929 $0.000000 34,929 01 Feb 2024 Common Stock 34,929 $0.000000 Direct F8, F9
transaction COF Restricted Stock Units Award $0 +18,580 $0.000000 18,580 01 Feb 2024 Common Stock 18,580 $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 2022 which settled in cash based on fair market value on February 1, 2024, 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 January 2023 which settled in cash based on fair market value on February 1, 2024, 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 3, 2022 for performance year 2021.
F5 Represents restricted stock units granted on February 3, 2022 for performance year 2022.
F6 Represents restricted stock units granted January 26, 2023 for performance year 2022.
F7 Represents restricted stock units granted January 26, 2023 for performance year 2023.
F8 Represents restricted stock units granted February 1, 2024 for performance year 2023.
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 davs preceding the vesting date.
F10 Represents restricted stock units granted February 1, 2024 for performance year 2024.