Richard D. Fairbank - Aug 8, 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 8, 2022
Transactions value $
-$1,286,734
Form type
4
Date filed
8/10/2022, 04:06 PM
Previous filing
Aug 8, 2022
Next filing
Aug 12, 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 8, 2022 Direct F1
transaction COF Common Stock Sale -$464K -4.32K -0.11% $107.39 3.77M Aug 8, 2022 Direct F1, F2
transaction COF Common Stock Sale -$889K -8.21K -0.22% $108.26 3.76M Aug 8, 2022 Direct F1, F3
transaction COF Common Stock Gift $0 -1.85K -0.05% $0.00 3.76M Aug 8, 2022 Direct
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Aug 9, 2022 Direct F1
transaction COF Common Stock Sale -$1.21M -11.3K -0.3% $107.24 3.76M Aug 9, 2022 Direct F1, F4
transaction COF Common Stock Sale -$131K -1.21K -0.03% $107.93 3.76M Aug 9, 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 -12.5K -6.25% $0.00 188K Aug 8, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -6.67% $0.00 176K Aug 9, 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 $106.96 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.