Richard D. Fairbank - Jul 27, 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman, CEO and President, Director
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Jul 27, 2021
Transactions value $
-$18,969,314
Form type
4
Date filed
7/29/2021, 04:20 PM
Next filing
Jan 31, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $16.5M +360K +9.95% $45.75 3.98M Jul 27, 2021 Direct F1, F2
transaction COF Common Stock Sale -$2.75M -17.2K -0.43% $160.00 3.96M Jul 27, 2021 Direct F1, F3
transaction COF Common Stock Sale -$6.3M -39.1K -0.99% $160.94 3.92M Jul 27, 2021 Direct F1, F4
transaction COF Common Stock Sale -$18.7M -115K -2.94% $161.92 3.81M Jul 27, 2021 Direct F1, F5
transaction COF Common Stock Sale -$7.2M -44.2K -1.16% $162.89 3.76M Jul 27, 2021 Direct F1, F6
transaction COF Common Stock Sale -$507K -3.1K -0.08% $163.48 3.76M Jul 27, 2021 Direct F1, F7

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 -360K -99.97% $0.00 100 Jul 27, 2021 Common Stock 360K $45.75 Direct F1
* 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 February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.39 to $160.37. Information regarding the number of shares sold at each price will be provided upon request.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.40 to $161.39. Information regarding the number of shares sold at each price will be provided upon request.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.40 to $162.39. Information regarding the number of shares sold at each price will be provided upon request.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.40 to $163.39. Information regarding the number of shares sold at each price will be provided upon request.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.40 to $163.66. Information regarding the number of shares sold at each price will be provided upon request.