Richard D. Fairbank - 10 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
10 Aug 2022
Net transactions value
-$2,171,818
Form type
4
Filing time
12 Aug 2022, 16:27:10 UTC
Previous filing
10 Aug 2022
Next filing
02 Nov 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 3,769,554 10 Aug 2022 Direct F1
transaction COF Common Stock Sale $322,936 -2,950 -0.08% $109.47 3,766,604 10 Aug 2022 Direct F1, F2
transaction COF Common Stock Sale $270,625 -2,446 -0.06% $110.64 3,764,158 10 Aug 2022 Direct F1, F3
transaction COF Common Stock Sale $664,481 -5,952 -0.16% $111.64 3,758,206 10 Aug 2022 Direct F1, F4
transaction COF Common Stock Sale $133,518 -1,190 -0.03% $112.20 3,757,016 10 Aug 2022 Direct F1, F5
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,554 11 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,325,371 -11,488 -0.3% $115.37 3,758,066 11 Aug 2022 Direct F1, F6
transaction COF Common Stock Sale $121,874 -1,050 -0.03% $116.07 3,757,016 11 Aug 2022 Direct F1, F7
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,554 12 Aug 2022 Direct F1
transaction COF Common Stock Sale $1,329,276 -11,488 -0.3% $115.71 3,758,066 12 Aug 2022 Direct F1, F8
transaction COF Common Stock Sale $122,157 -1,050 -0.03% $116.34 3,757,016 12 Aug 2022 Direct F1, F9

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 -7.1% $0.000000 162,991 10 Aug 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -7.7% $0.000000 150,453 11 Aug 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -8.3% $0.000000 137,915 12 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 $109.08 to $110.01. 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 $110.08 to $110.98. 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 $111.09 to $112.07. 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 $112.09 to $112.36. Information regarding the number of shares sold at each price will be provided upon request.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.90 to $115.85. Information regarding the number of shares sold at each price will be provided upon request.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.06 to $116.13. Information regarding the number of shares sold at each price will be provided upon request.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.24 to $116.23. Information regarding the number of shares sold at each price will be provided upon request.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.30 to $116.34. Information regarding the number of shares sold at each price will be provided upon request.