Richard D. Fairbank - 25 Jul 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
25 Jul 2022
Net transactions value
-$1,323,445
Form type
4
Filing time
27 Jul 2022, 16:10:10 UTC
Previous filing
17 Feb 2022
Next filing
29 Jul 2022
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 $706,140 +12,538 +0.33% $56.32 3,771,401 25 Jul 2022 Direct F1, F2
transaction COF Common Stock Sale $867,172 -7,999 -0.21% $108.41 3,763,402 25 Jul 2022 Direct F1, F3
transaction COF Common Stock Sale $485,849 -4,439 -0.12% $109.45 3,758,963 25 Jul 2022 Direct F1, F4
transaction COF Common Stock Sale $10,997 -100 -0% $109.97 3,758,863 25 Jul 2022 Direct F1
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,771,401 26 Jul 2022 Direct F1
transaction COF Common Stock Sale $1,294,722 -11,838 -0.31% $109.37 3,759,563 26 Jul 2022 Direct F1, F5
transaction COF Common Stock Sale $76,986 -700 -0.02% $109.98 3,758,863 26 Jul 2022 Direct F1, F6

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 -12,538 -3.8% $0.000000 313,447 25 Jul 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -4% $0.000000 300,909 26 Jul 2022 Common Stock 12,538 $56.32 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 9, 2022, 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 $107.87 to $108.86. 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 $108.95 to $109.92. 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 $108.87 to $109.85. 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 $109.94 to $110.03. Information regarding the number of shares sold at each price will be provided upon request.