Richard D. Fairbank - 02 Nov 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
02 Nov 2022
Net transactions value
-$1,173,396
Form type
4
Filing time
04 Nov 2022, 16:06:14 UTC
Previous filing
02 Nov 2022
Next filing
08 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 3,769,560 02 Nov 2022 Direct F1
transaction COF Common Stock Sale $1,330,533 -12,538 -0.33% $106.12 3,757,022 02 Nov 2022 Direct F1, F2
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,560 03 Nov 2022 Direct F1
transaction COF Common Stock Sale $429,472 -4,315 -0.11% $99.53 3,765,245 03 Nov 2022 Direct F1, F3
transaction COF Common Stock Sale $825,671 -8,223 -0.22% $100.41 3,757,022 03 Nov 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 -12,538 -11% $0.000000 100,301 02 Nov 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -13% $0.000000 87,763 03 Nov 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 $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.