Richard D. Fairbank - Jul 27, 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Jul 27, 2022
Transactions value $
-$1,296,450
Form type
4
Date filed
7/29/2022, 04:11 PM
Previous filing
Jul 27, 2022
Next filing
Aug 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Jul 27, 2022 Direct F1
transaction COF Common Stock Sale -$1.35M -12.5K -0.33% $107.54 3.76M Jul 27, 2022 Direct F1, F2
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Jul 28, 2022 Direct F1
transaction COF Common Stock Sale -$180K -1.68K -0.04% $107.22 3.77M Jul 28, 2022 Direct F1, F3
transaction COF Common Stock Sale -$815K -7.51K -0.2% $108.57 3.76M Jul 28, 2022 Direct F1, F4
transaction COF Common Stock Sale -$366K -3.35K -0.09% $108.99 3.76M Jul 28, 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 -12.5K -4.17% $0.00 288K Jul 27, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -4.35% $0.00 276K Jul 28, 2022 Common Stock 12.5K $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.