Robert M. Alexander - Mar 11, 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role: Chief Information Officer
Signature: /s/ Jason S. Frank (POA on file)
Stock symbol: COF
Transactions as of: Mar 11, 2024
Transactions value $: -$1,203,771
Form type: 4
Date filed: 3/13/2024, 06:53 PM
Previous filing: Feb 20, 2024
Next filing: Jul 19, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	COF	Common Stock	Award	$0	+19.3K	+26.57%	$0.00	91.8K	Mar 11, 2024	Direct	F1
transaction	COF	Common Stock	Tax liability	-$1.2M	-8.69K	-9.47%	$138.46	83.1K	Mar 11, 2024	Direct	F2
holding	COF	Common Stock						2	Mar 11, 2024	Robert M. Alexander UGMA
holding	COF	Common Stock						100	Mar 11, 2024	The Alexander Fund

* 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 a performance share award agreement granted on February 4, 2021, as amended November 2, 2023, 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.

Content

These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended November 2, 2023, 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.

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.