Richard D. Fairbank - 27 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: 27 Jul 2022
Net transactions value: -$1,296,450
Form type: 4
Filing time: 29 Jul 2022, 16:11:26 UTC
Previous filing: 27 Jul 2022
Next filing: 02 Aug 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	27 Jul 2022	Direct	F1
transaction	COF	Common Stock	Sale	$1,348,337	-12,538	-0.33%	$107.54	3,758,863	27 Jul 2022	Direct	F1, F2
transaction	COF	Common Stock	Options Exercise	$706,140	+12,538	+0.33%	$56.32	3,771,401	28 Jul 2022	Direct	F1
transaction	COF	Common Stock	Sale	$179,915	-1,678	-0.04%	$107.22	3,769,723	28 Jul 2022	Direct	F1, F3
transaction	COF	Common Stock	Sale	$814,926	-7,506	-0.2%	$108.57	3,762,217	28 Jul 2022	Direct	F1, F4
transaction	COF	Common Stock	Sale	$365,552	-3,354	-0.09%	$108.99	3,758,863	28 Jul 2022	Direct	F1, F5

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	-4.2%	$0.000000	288,371	27 Jul 2022	Common Stock	12,538	$56.32	Direct	F1
transaction	COF	Stock Options	Options Exercise	$0	-12,538	-4.3%	$0.000000	275,833	28 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	The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.01 to $107.93. 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 $106.77 to $107.71. 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 $107.86 to $108.84. 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 $109.34. Information regarding the number of shares sold at each price will be provided upon request.