Richard D. Fairbank - Nov 2, 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
Nov 2, 2022
Transactions value $
-$1,173,396
Form type
4
Date filed
11/4/2022, 04:06 PM
Previous filing
Nov 2, 2022
Next filing
Nov 8, 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 Nov 2, 2022 Direct F1
transaction COF Common Stock Sale -$1.33M -12.5K -0.33% $106.12 3.76M Nov 2, 2022 Direct F1, F2
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Nov 3, 2022 Direct F1
transaction COF Common Stock Sale -$429K -4.32K -0.11% $99.53 3.77M Nov 3, 2022 Direct F1, F3
transaction COF Common Stock Sale -$826K -8.22K -0.22% $100.41 3.76M Nov 3, 2022 Direct F1, F4

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 -11.11% $0.00 100K Nov 2, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -12.5% $0.00 87.8K Nov 3, 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 $105.69 to $106.59. 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 $99.02 to $100.01. 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 $100.05 to $100.96. Information regarding the number of shares sold at each price will be provided upon request.