AI assistant
CAPITAL ONE FINANCIAL CORP — Director's Dealing 2021
Feb 17, 2021
29823_dirs_2021-02-17_3734a2a8-7bc4-4361-8738-0cfd15d8eff7.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2021-02-15
Reporting Person: LaPrade,III Frank G. (Chief Enterprise Srvcs Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-15 | Common Stock | M | 2340 | — | Acquired | 66117 | Direct |
| 2021-02-15 | Common Stock | D | 2340 | $109.60 | Disposed | 63777 | Direct |
| 2021-02-15 | Common Stock | F | 1338 | — | Disposed | 62439 | Direct |
| 2021-02-15 | Common Stock | F | 1931 | — | Disposed | 60508 | Direct |
| 2021-02-15 | Common Stock | F | 1796 | — | Disposed | 58712 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-15 | 2018 Restricted Stock Units | $0.0 | M | 2340 | Disposed | Common Stock (2340.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 758 | Indirect |
Footnotes
F1: On February 15, 2021, 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 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 1, 2018. 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 January 31, 2019. This is authorized in the applicable restricted stock award agreement.
F4: 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.
F5: Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
F6: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.