Richard D. Fairbank - 15 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
15 Feb 2024
Net transactions value
-$4,404,338
Form type
4
Filing time
20 Feb 2024, 16:19:42 UTC
Previous filing
05 Feb 2024
Next filing
13 Mar 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 $0 +17,270 +0.45% $0.000000 3,865,688 15 Feb 2024 Direct F1
transaction COF Common Stock Options Exercise $0 +15,196 +0.39% $0.000000 3,880,884 15 Feb 2024 Direct F1
transaction COF Common Stock Disposed to Issuer $2,342,848 -17,270 -0.45% $135.66 3,863,614 15 Feb 2024 Direct F1
transaction COF Common Stock Disposed to Issuer $2,061,489 -15,196 -0.39% $135.66 3,848,418 15 Feb 2024 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 2021 Restricted Stock Units Options Exercise $0 -17,270 -100% $0.000000* 0 15 Feb 2024 Common Stock 17,270 $0.000000 Direct F1, F2
transaction COF Restricted Stock Units Options Exercise $0 -15,196 -100% $0.000000* 0 15 Feb 2024 Common Stock 15,196 $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, 2024, 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 February 4, 2021 for performance year 2020.
F3 Represents restricted stock units granted on February 4, 2021 for performance year 2021.