Richard D. Fairbank - 04 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
04 Aug 2022
Net transactions value
-$1,258,969
Form type
4
Filing time
08 Aug 2022, 16:11:02 UTC
Previous filing
04 Aug 2022
Next filing
10 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 04 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,302,165 -12,138 -0.32% $107.28 3,759,263 04 Aug 2022 Direct F1, F2
transaction COF Common Stock Sale $43,144 -400 -0.01% $107.86 3,758,863 04 Aug 2022 Direct F1
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,771,401 05 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,096,226 -10,377 -0.28% $105.64 3,761,024 05 Aug 2022 Direct F1, F3
transaction COF Common Stock Sale $229,714 -2,161 -0.06% $106.30 3,758,863 05 Aug 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 -12,538 -5.6% $0.000000 213,143 04 Aug 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -5.9% $0.000000 200,605 05 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 $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.