Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

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Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

Market Information

Our common stock is listed on the NYSE and is traded under the symbol “COF.” As of January 31, 2022, there were 9,262 holders of record of our common stock.

Securities Authorized for Issuance Under Equity Compensation Plans

Information relating to compensation plans under which our equity securities are authorized for issuance is presented in this Report under “Part III—Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.”



			41			Capital One Financial Corporation (COF)

Common Stock Performance Graph

The following graph shows the cumulative total stockholder return on our common stock compared to an overall stock market index, the S&P Composite 500 Stock Index (“S&P 500 Index”), and a published industry index, the S&P Financial Composite Index (“S&P Financial Index”), over the five-year period commencing December 31, 2016 and ended December 31, 2021. The stock performance graph assumes that $100 was invested in our common stock and each index and that all dividends were reinvested. The stock price performance on the graph below is not necessarily indicative of future performance.


	December 31,
	2016		2017		2018		2019		2020		2021
Capital One	$	100.00	$	114.14	$	86.65	$	117.96	$	113.31	$	166.31
S&P 500 Index	100.00		119.42		111.97		144.31		167.77		212.89
S&P Financial Index	100.00		120.03		102.43		132.31		126.88		168.18



			42			Capital One Financial Corporation (COF)

Recent Sales of Unregistered Securities

We did not have any sales of unregistered equity securities in 2021.

Issuer Purchases of Equity Securities

The following table presents information related to repurchases of shares of our common stock for each calendar month in the fourth quarter of 2021, comprised mainly by repurchases of common stock under the 2021 Stock Repurchase Program. Commission costs are excluded from the amounts presented below. For additional information on our 2021 Stock Repurchase Program, see “MD&A—Capital Management—Dividend Policy and Stock Purchases.”


	Total Number of Shares Purchased	Average Price per Share		Total Number of Shares Purchased as Part of Publicly Announced Plans	Maximum Amount That May Yet be Purchased Under the Plan or Program (in millions)
October	4,882,679	$	166.55	4,882,679	$	1,831
November(1)	7,540,529	153.87		7,492,091	678
December	4,636,238	146.31		4,636,238	—
Total	17,059,446	155.45		17,011,008

(1) There were 48,438 shares withheld in November to cover taxes on restricted stock awards whose restrictions have lapsed.



			43			Capital One Financial Corporation (COF)

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