Richard D. Fairbank - 08 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
08 Aug 2022
Net transactions value
-$1,286,734
Form type
4
Filing time
10 Aug 2022, 16:06:48 UTC
Previous filing
08 Aug 2022
Next filing
12 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 08 Aug 2022 Direct F1
transaction COF Common Stock Sale $464,354 -4,324 -0.11% $107.39 3,767,077 08 Aug 2022 Direct F1, F2
transaction COF Common Stock Sale $889,248 -8,214 -0.22% $108.26 3,758,863 08 Aug 2022 Direct F1, F3
transaction COF Common Stock Gift $0 -1,847 -0.05% $0.000000 3,757,016 08 Aug 2022 Direct
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,554 09 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,214,386 -11,324 -0.3% $107.24 3,758,230 09 Aug 2022 Direct F1, F4
transaction COF Common Stock Sale $131,027 -1,214 -0.03% $107.93 3,757,016 09 Aug 2022 Direct F1

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 -6.3% $0.000000 188,067 08 Aug 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -6.7% $0.000000 175,529 09 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 $106.96 to $107.955. 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 $107.96 to $108.70. 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 $106.84 to $107.76. Information regarding the number of shares sold at each price will be provided upon request.