Form 4: Capital One CFO Andrew Young Reports Stock Transactions

Capital One's Chief Financial Officer, Andrew Young, reports the acquisition and disposal of company stock related to performance share awards and tax obligations.

Summary

• Andrew Young, the Chief Financial Officer of Capital One Financial Corp, reported transactions involving Capital One common stock on March 10, 2025.
• Young acquired 6,661 shares of common stock related to a performance share award granted on February 3, 2022, and amended on November 2, 2023.
• These shares were earned based on the company's performance against a peer group over a three-year period, considering Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE.
• Additionally, 3,005 shares were withheld by the company to cover Young's tax obligations associated with the settlement of the performance shares at a price of $163.87.
• Following these transactions, Young directly owns 35,933 shares and indirectly owns 59 shares through a child.
• The report also mentions shares acquired through the company's Associate Stock Purchase Plan since the last reported transaction.

Sentiment

Score: 6

Explanation: The document is a standard regulatory filing detailing stock transactions. It doesn't inherently convey positive or negative sentiment, but the vesting of performance shares suggests the company met certain performance goals.

Positives

• The acquisition of shares indicates that Capital One met certain performance targets, as the shares were awarded based on the company's performance against a peer group.

Industry Context

Form 4 filings are a routine part of corporate governance, providing transparency into the trading activities of company insiders. This filing indicates transactions related to compensation and tax obligations, which are common occurrences.

Stakeholder Impact

• The transactions have a minor impact on shareholders, as they reflect the CFO's compensation and tax obligations.

Key Dates