Richard D. Fairbank - Feb 15, 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 15, 2024
Transactions value $
-$4,404,338
Form type
4
Date filed
2/20/2024, 04:19 PM
Previous filing
Feb 5, 2024
Next filing
Mar 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $0 +17.3K +0.45% $0.00 3.87M Feb 15, 2024 Direct F1
transaction COF Common Stock Options Exercise $0 +15.2K +0.39% $0.00 3.88M Feb 15, 2024 Direct F1
transaction COF Common Stock Disposed to Issuer -$2.34M -17.3K -0.45% $135.66 3.86M Feb 15, 2024 Direct F1
transaction COF Common Stock Disposed to Issuer -$2.06M -15.2K -0.39% $135.66 3.85M Feb 15, 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 -17.3K -100% $0.00* 0 Feb 15, 2024 Common Stock 17.3K $0.00 Direct F1, F2
transaction COF Restricted Stock Units Options Exercise $0 -15.2K -100% $0.00* 0 Feb 15, 2024 Common Stock 15.2K $0.00 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.