Richard D. Fairbank - Feb 1, 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Jason S. Frank (POA on file)
Stock symbol
COF
Transactions as of
Feb 1, 2024
Transactions value $
$0
Form type
4
Date filed
2/5/2024, 04:53 PM
Previous filing
Nov 14, 2023
Next filing
Feb 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $29.6K +220 +0.01% $134.56 3.85M Feb 1, 2024 Direct F1, F2
transaction COF Common Stock Options Exercise $36.6K +272 +0.01% $134.56 3.85M Feb 1, 2024 Direct F1
transaction COF Common Stock Options Exercise $35.9K +267 +0.01% $134.56 3.85M Feb 1, 2024 Direct F3
transaction COF Common Stock Options Exercise $31.5K +234 +0.01% $134.56 3.85M Feb 1, 2024 Direct F3
transaction COF Common Stock Tax liability -$29.6K -220 -0.01% $134.56 3.85M Feb 1, 2024 Direct F1
transaction COF Common Stock Tax liability -$36.6K -272 -0.01% $134.56 3.85M Feb 1, 2024 Direct F1
transaction COF Common Stock Tax liability -$35.9K -267 -0.01% $134.56 3.85M Feb 1, 2024 Direct F3
transaction COF Common Stock Tax liability -$31.5K -234 -0.01% $134.56 3.85M Feb 1, 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% $0.00 19.8K Feb 1, 2024 Common Stock 220 $0.00 Direct F1, F4
transaction COF Restricted Stock Units Options Exercise $0 -272 -1.63% $0.00 16.4K Feb 1, 2024 Common Stock 272 $0.00 Direct F1, F5
transaction COF 2023 Restricted Stock Units Options Exercise $0 -267 -1.09% $0.00 24.3K Feb 1, 2024 Common Stock 267 $0.00 Direct F3, F6
transaction COF Restricted Stock Units Options Exercise $0 -234 -1.09% $0.00 21.3K Feb 1, 2024 Common Stock 234 $0.00 Direct F3, F7
transaction COF 2024 Restricted Stock Units Award $0 +34.9K $0.00 34.9K Feb 1, 2024 Common Stock 34.9K $0.00 Direct F8, F9
transaction COF Restricted Stock Units Award $0 +18.6K $0.00 18.6K Feb 1, 2024 Common Stock 18.6K $0.00 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.