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COF-G Capital One Financial Corporation

25.00
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Name Symbol Market Type
Capital One Financial Corporation NYSE:COF-G NYSE Depository Receipt
  Price Change % Change Price High Price Low Price Open Price Traded Last Trade
  0.00 0.00% 25.00 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

02/02/2022 9:11pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Blinde Neal
2. Issuer Name and Ticker or Trading Symbol

CAPITAL ONE FINANCIAL CORP [ COF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EC, Commercial Banking
(Last)          (First)          (Middle)

1680 CAPITAL ONE DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

1/31/2022
(Street)

MCLEAN, VA 22102
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock (1)1/31/2022  A  81306 A$0 81330 D  
Common Stock (2)1/31/2022  A  40892 A$0 122222 D  
Common Stock (3)1/31/2022  A  20446 A$0 142668 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) 50% of this restricted stock unit award will vest on January 31, 2023, 30% will vest on January 31, 2024, and 20% will vest on January 31, 2025. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
(2) This restricted stock unit award will vest in 1/4 increments beginning on January 31, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
(3) This restricted stock unit award will vest in 1/3 increments beginning on January 31, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Blinde Neal
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102


EC, Commercial Banking

Signatures
/s/ Cleo Belmonte (POA on file)2/2/2022
**Signature of Reporting PersonDate

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