Robert M. Alexander - 01 Jun 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chief Information Officer
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
01 Jun 2021
Net transactions value
-$4,479,183
Form type
4
Filing time
03 Jun 2021, 16:19:49 UTC
Next filing
30 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $1,818,854 +28,540 +39% $63.73 102,084 01 Jun 2021 Direct F1
transaction COF Common Stock Sale $3,789,257 -23,042 -23% $164.45 79,042 01 Jun 2021 Direct F1, F2
transaction COF Common Stock Sale $2,508,780 -15,190 -19% $165.16 63,852 01 Jun 2021 Direct F1, F3
holding COF Common Stock 2 01 Jun 2021 Robert M. Alexander UGMA
holding COF Common Stock 100 01 Jun 2021 The Alexander Fund

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction COF Stock Options Options Exercise $0 -28,540 -100% $0.000000* 0 01 Jun 2021 Common Stock 28,540 $63.73 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.85 to $164.84. Information regarding the number of shares sold at each price will be provided upon request.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.86 to $165.61. Information regarding the number of shares sold at each price will be provided upon request.
F4 This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.