Richard D. Fairbank - Oct 31, 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
Oct 31, 2022
Transactions value $
-$1,263,636
Form type
4
Date filed
11/2/2022, 04:07 PM
Previous filing
Aug 12, 2022
Next filing
Nov 4, 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 Oct 31, 2022 Direct F1, F2
transaction COF Common Stock Sale -$378K -3.58K -0.1% $105.60 3.77M Oct 31, 2022 Direct F1, F3
transaction COF Common Stock Sale -$954K -8.96K -0.24% $106.50 3.76M Oct 31, 2022 Direct F1, F4
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Nov 1, 2022 Direct F1
transaction COF Common Stock Sale -$1.3M -12.1K -0.32% $107.16 3.76M Nov 1, 2022 Direct F1, F5
transaction COF Common Stock Sale -$43.7K -405 -0.01% $107.83 3.76M Nov 1, 2022 Direct F1, F6

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 -9.09% $0.00 125K Oct 31, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -10% $0.00 113K Nov 1, 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 Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.05 to $105.95. 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 $106.07 to $106.97. 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 $106.68 to $107.67. 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 $107.75 to $107.94. Information regarding the number of shares sold at each price will be provided upon request.