Michael Slocum - Jul 27, 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
President, Commercial Banking
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Jul 27, 2021
Transactions value $
-$4,770,906
Form type
4
Date filed
7/29/2021, 04:19 PM
Next filing
Feb 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $1.73M +24.4K +43.05% $70.96 81.1K Jul 27, 2021 Direct
transaction COF Common Stock Options Exercise $2.2M +29.4K +36.27% $74.96 111K Jul 27, 2021 Direct
transaction COF Common Stock Sale -$7.1M -43.9K -39.74% $161.69 66.6K Jul 27, 2021 Direct F1
transaction COF Common Stock Sale -$1.61M -9.9K -14.87% $162.27 56.7K Jul 27, 2021 Direct F2

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 Stock Options Options Exercise $0 -24.4K -100% $0.00* 0 Jul 27, 2021 Common Stock 24.4K $70.96 Direct F3
transaction COF Stock Options Options Exercise $0 -29.4K -100% $0.00* 0 Jul 27, 2021 Common Stock 29.4K $74.96 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request.
F3 This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.
F4 This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.