Form Type: 4

SEC EDGAR Link
Accession Number:0000927628-21-000300
Date:2021-11-01
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
Original Submission Date:

Reporting Person:

RASKIND PETER E
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 2021-11-01 M 2,716 a $45.75 28,812 direct
COMMON STOCK 2021-11-01 S 2,716 d $152.33 26,096 direct
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 45.75 2021-11-01 deemed execution date M 2,716 (d) 2013-01-31 2022-01-30 common stock 2,716 $45.75 0 direct
Footnotes
IDfootnote
f1 this transaction was executed pursuant to a trading plan entered into by the reporting person on april 29, 2021, in accordance with rule 10b5-1 of the securities exchange act of 1934, as amended.
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