Berson Jory A 4

4 · CAPITAL ONE FINANCIAL CORP · Filed Feb 17, 2021

Form 4

Period: 2021-02-15

President, Financial Services

Transactions

Exercise/Conversion
Common Stock
2021-02-15+1,965→ 63,673 total
Tax Payment
Common Stock
2021-02-15$117.75/sh−1,114$131,174→ 60,594 total
Tax Payment
Common Stock
2021-02-15$117.75/sh−1,480$174,270→ 59,114 total
Tax Payment
Common Stock
2021-02-15$117.75/sh−1,657$195,112→ 57,457 total
Exercise/Conversion
2018 Restricted Stock Units
2021-02-15−1,965→ 0 total
Exercise: $0.00→ Common Stock (1,965 underlying)
Disposition to Issuer
Common Stock
2021-02-15$109.60/sh−1,965$215,364→ 61,708 total

Holdings

Footnotes (5)

[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]These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Documents

1 file