Richard D. Fairbank - Aug 4, 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
Aug 4, 2022
Transactions value $
-$1,258,969
Form type
4
Date filed
8/8/2022, 04:11 PM
Previous filing
Aug 4, 2022
Next filing
Aug 10, 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 Aug 4, 2022 Direct F1
transaction COF Common Stock Sale -$1.3M -12.1K -0.32% $107.28 3.76M Aug 4, 2022 Direct F1, F2
transaction COF Common Stock Sale -$43.1K -400 -0.01% $107.86 3.76M Aug 4, 2022 Direct F1
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Aug 5, 2022 Direct F1
transaction COF Common Stock Sale -$1.1M -10.4K -0.28% $105.64 3.76M Aug 5, 2022 Direct F1, F3
transaction COF Common Stock Sale -$230K -2.16K -0.06% $106.30 3.76M Aug 5, 2022 Direct F1, F4

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 -5.56% $0.00 213K Aug 4, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -5.88% $0.00 201K Aug 5, 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 $106.73 to $107.71. 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 $105.09 to $106.04. 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 $106.11 to $106.42. Information regarding the number of shares sold at each price will be provided upon request.