Richard D. Fairbank - Aug 10, 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 10, 2022
Transactions value $
-$2,171,818
Form type
4
Date filed
8/12/2022, 04:27 PM
Previous filing
Aug 10, 2022
Next filing
Nov 2, 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 10, 2022 Direct F1
transaction COF Common Stock Sale -$323K -2.95K -0.08% $109.47 3.77M Aug 10, 2022 Direct F1, F2
transaction COF Common Stock Sale -$271K -2.45K -0.06% $110.64 3.76M Aug 10, 2022 Direct F1, F3
transaction COF Common Stock Sale -$664K -5.95K -0.16% $111.64 3.76M Aug 10, 2022 Direct F1, F4
transaction COF Common Stock Sale -$134K -1.19K -0.03% $112.20 3.76M Aug 10, 2022 Direct F1, F5
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Aug 11, 2022 Direct F1
transaction COF Common Stock Sale -$1.33M -11.5K -0.3% $115.37 3.76M Aug 11, 2022 Direct F1, F6
transaction COF Common Stock Sale -$122K -1.05K -0.03% $116.07 3.76M Aug 11, 2022 Direct F1, F7
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Aug 12, 2022 Direct F1
transaction COF Common Stock Sale -$1.33M -11.5K -0.3% $115.71 3.76M Aug 12, 2022 Direct F1, F8
transaction COF Common Stock Sale -$122K -1.05K -0.03% $116.34 3.76M Aug 12, 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 -12.5K -7.14% $0.00 163K Aug 10, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -7.69% $0.00 150K Aug 11, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -8.33% $0.00 138K Aug 12, 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 $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.