Form Type: 4

SEC EDGAR Link
Accession Number:0000927628-21-000221
Date:2021-06-01
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
Original Submission Date:

Reporting Person:

ALEXANDER ROBERT M.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-06-01 M 28,540 a $63.73 102,084 direct
COMMON STOCK 2021-06-01 S 23,042 d $164.45 79,042 direct
COMMON STOCK 2021-06-01 S 15,190 d $165.16 63,852 direct
COMMON STOCK 2021-06-01 0 $0.00 2 indirect
COMMON STOCK 2021-06-01 0 $0.00 100 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTIONS 63.73 2021-06-01 deemed execution date M 28,540 (d) 2026-02-03 common stock 28,540 $63.73 0 direct
Footnotes
IDfootnote
f1 this transaction was executed pursuant to a trading plan entered into by the reporting person on april 30, 2021, in accordance with rule 10b5-1 of the securities exchange act of 1934, as amended.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $163.85 to $164.84. information regarding the number of shares sold at each price will be provided upon request.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $164.86 to $165.61. information regarding the number of shares sold at each price will be provided upon request.
f4 this option became exercisable in 1/3 increments beginning on february 15, 2017 and annually thereafter.
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