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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)

07/02/2022 9:35pm

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 *

FAIRBANK RICHARD D
2. Issuer Name and Ticker or Trading Symbol

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

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman and CEO
(Last)          (First)          (Middle)

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

2/3/2022
(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 2/3/2022  M(1)  276 A$148.29 3759129 D  
Common Stock 2/3/2022  M(1)  186 A$148.29 3759315 D  
Common Stock 2/3/2022  M(2)  193 A$148.29 3759508 D  
Common Stock 2/3/2022  M(2)  169 A$148.29 3759677 D  
Common Stock 2/3/2022  F(1)  276 D$148.29 3759401 D  
Common Stock 2/3/2022  F(1)  186 D$148.29 3759215 D  
Common Stock 2/3/2022  F(2)  193 D$148.29 3759022 D  
Common Stock 2/3/2022  F(2)  169 D$148.29 3758853 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
2020 Restricted Stock Units (3)$0.0 (1)2/3/2022  M (1)    276  2/15/2023 2/15/2023 Common Stock 276.0 $0 19087 D  
Restricted Stock Units (4)$0.0 (1)2/3/2022  M (1)    186  2/15/2023 2/15/2023 Common Stock 186.0 $0 16757 D  
2021 Restricted Stock Units (5)$0.0 (2)2/3/2022  M (2)    193  2/15/2024 2/15/2024 Common Stock 193.0 $0 17560 D  
Restricted Stock Units (6)$0.0 (2)2/3/2022  M (2)    169  2/15/2024 2/15/2024 Common Stock 169.0 $0 15365 D  
2022 Restricted Stock Units (7)$0.0 (8)2/3/2022  A   20231    2/15/2025 2/15/2025 Common Stock 20231.0 $0 20231 D  
Restricted Stock Units (9)$0.0 (8)2/3/2022  A   16859    2/15/2025 2/15/2025 Common Stock 16859.0 $0 16859 D  

Explanation of Responses:
(1) Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, 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.
(2) Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, 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.
(3) Represents restricted stock units granted on January 30, 2020 for performance year 2019.
(4) Represents restricted stock units granted on January 30, 2020 for performance year 2020.
(5) Represents restricted stock units granted on February 4, 2021 for performance year 2020.
(6) Represents restricted stock units granted on February 4, 2021 for performance year 2021.
(7) Represents restricted stock units granted on February 3, 2022 for performance year 2021.
(8) 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 days preceding the vesting date.
(9) Represents restricted stock units granted on February 3, 2022 for performance year 2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
FAIRBANK RICHARD D
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102
X
Chairman and CEO

Signatures
/s/ Cleo Belmonte (POA on file)2/7/2022
**Signature of Reporting PersonDate

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