Form Type: 4

SEC EDGAR Link
Accession Number:0000927628-23-000101
Date:2023-02-15
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 2023-02-15 F 1,022 d $114.63 73,580 direct
COMMON STOCK 2023-02-15 F 1,738 d $114.63 71,842 direct
COMMON STOCK 2023-02-15 F 1,261 d $114.63 70,581 direct
COMMON STOCK 2023-02-15 0 $0.00 2 indirect
COMMON STOCK 2023-02-15 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
Footnotes
IDfootnote
f1 represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on january 30, 2020. this is authorized in the applicable restricted stock award agreement.
f2 represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on february 4, 2021. this is authorized in the applicable restricted stock award agreement.
f3 represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on february 3, 2022. this is authorized in the applicable restricted stock award agreement.
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