Form Type: 4

SEC EDGAR Link
Accession Number:0000927628-23-000131
Date:2023-03-01
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 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
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 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.
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