Richard D. Fairbank - 04 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
04 Nov 2022
Net transactions value
-$1,146,396
Form type
4
Filing time
08 Nov 2022, 15:11:31 UTC
Previous filing
04 Nov 2022
Next filing
10 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 04 Nov 2022 Direct F1
transaction COF Common Stock Sale $1,264,583 -12,538 -0.33% $100.86 3,757,022 04 Nov 2022 Direct F1, F2
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,560 07 Nov 2022 Direct F1
transaction COF Common Stock Sale $966,384 -9,376 -0.25% $103.07 3,760,184 07 Nov 2022 Direct F1, F3
transaction COF Common Stock Sale $327,710 -3,162 -0.08% $103.64 3,757,022 07 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 -14% $0.000000 75,225 04 Nov 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -17% $0.000000 62,687 07 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 $100.60 to $101.38. 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 $102.49 to $103.42. 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 $103.52 to $103.74. Information regarding the number of shares sold at each price will be provided upon request.