Form Type: 4

SEC EDGAR Link
Accession Number:0000927628-23-000089
Date:2023-02-15
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
Original Submission Date:

Reporting Person:

FAIRBANK RICHARD D
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 2023-02-15 M 19,087 a $0.00 3,776,116 direct
COMMON STOCK 2023-02-15 M 16,757 a $0.00 3,792,873 direct
COMMON STOCK 2023-02-15 D 19,087 d $117.47 3,773,786 direct
COMMON STOCK 2023-02-15 D 16,757 d $117.47 3,757,029 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
2020 RESTRICTED STOCK UNITS 0.0 2023-02-15 deemed execution date M 19,087 (d) 2023-02-15 2023-02-15 common stock 19,087 $0.00 0 direct
RESTRICTED STOCK UNITS 0.0 2023-02-15 deemed execution date M 16,757 (d) 2023-02-15 2023-02-15 common stock 16,757 $0.00 0 direct
Footnotes
IDfootnote
f1 on february 15, 2023, 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 january 30, 2020 for performance year 2019.
f3 represents restricted stock units granted on january 30, 2020 for performance year 2020.
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