Richard D. Fairbank - 02 Aug 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
02 Aug 2022
Net transactions value
-$1,302,421
Form type
4
Filing time
04 Aug 2022, 16:10:23 UTC
Previous filing
02 Aug 2022
Next filing
08 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 02 Aug 2022 Direct F1
transaction COF Common Stock Sale $884,025 -8,193 -0.22% $107.90 3,763,208 02 Aug 2022 Direct F1, F2
transaction COF Common Stock Sale $472,041 -4,345 -0.12% $108.64 3,758,863 02 Aug 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,771,401 03 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,197,473 -11,057 -0.29% $108.30 3,760,344 03 Aug 2022 Direct F1, F4
transaction COF Common Stock Sale $161,162 -1,481 -0.04% $108.82 3,758,863 03 Aug 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 -5% $0.000000 238,219 02 Aug 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -5.3% $0.000000 225,681 03 Aug 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 $107.42 to $108.39. 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 $108.44 to $108.84. 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 $107.78 to $108.68. 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 $108.79 to $108.95. Information regarding the number of shares sold at each price will be provided upon request.