Accession Number: | 0000927628-23-000131 |
Date: | 2023-03-01 |
Issuer: | CAPITAL ONE FINANCIAL CORP (COF) |
Original Submission Date: |
ALEXANDER ROBERT M.
1680 CAPITAL ONE DRIVE
MCLEAN, VA 22102
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2023-03-01 | A | 15,012 | a | $0.00 | 85,593 | direct | ||
COMMON STOCK | 2023-03-01 | F | 6,771 | d | $108.58 | 78,822 | direct | ||
COMMON STOCK | 2023-03-01 | 0 | $0.00 | 2 | indirect | ||||
COMMON STOCK | 2023-03-01 | 0 | $0.00 | 100 | indirect |
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 Exercisable | Expiration 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 |
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ID | footnote |
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f1 | these shares were earned pursuant to an award of performance shares granted on january 30, 2020 based on the company's common dividends + growth of tangible book value per share and adjusted rotce against a peer group of companies over a three-year performance period. these shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. |
f2 | these shares were automatically withheld by the company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. this share withholding was authorized in the performance share award agreement. |