Lia Dean - Mar 11, 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Pres, Banking & Prem. Products
Signature
/s/ Jason S. Frank (POA on file)
Stock symbol
COF
Transactions as of
Mar 11, 2024
Transactions value $
-$913,144
Form type
4
Date filed
3/13/2024, 06:55 PM
Previous filing
Feb 20, 2024
Next filing
May 3, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Award $0 +13.2K +20.99% $0.00 75.9K Mar 11, 2024 Direct F1, F2
transaction COF Common Stock Tax liability -$913K -6.6K -8.69% $138.46 69.3K Mar 11, 2024 Direct 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 a performance share award agreement granted on February 4, 2021, as amended on 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 Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
F3 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.