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	$16,465,837	+359,909	+9.95%	$45.75	3,977,787	Jul 27, 2021	Direct	F1, F2
transaction	COF	Common Stock	-Sell	-$2,745,280	-17,158	-0.43%	$160.00	3,960,629	Jul 27, 2021	Direct	F1, F3
transaction	COF	Common Stock	-Sell	-$6,296,134	-39,121	-0.99%	$160.94	3,921,508	Jul 27, 2021	Direct	F1, F4
transaction	COF	Common Stock	-Sell	-$18,683,139	-115,385	-2.94%	$161.92	3,806,123	Jul 27, 2021	Direct	F1, F5
transaction	COF	Common Stock	-Sell	-$7,203,810	-44,225	-1.16%	$162.89	3,761,898	Jul 27, 2021	Direct	F1, F6
transaction	COF	Common Stock	-Sell	-$506,788	-3,100	-0.08%	$163.48	3,758,798	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	-359,909	-99.97%	$0.00	100	Jul 27, 2021	Common Stock	359,909	$45.75	Direct	F1

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.