Richard D. Fairbank - Nov 8, 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 8, 2022
Transactions value $
-$1,196,091
Form type
4
Date filed
11/10/2022, 03:07 PM
Previous filing
Nov 8, 2022
Next filing
Nov 15, 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 8, 2022 Direct F1
transaction COF Common Stock Sale -$1.29M -12.3K -0.33% $104.71 3.76M Nov 8, 2022 Direct F1, F2
transaction COF Common Stock Sale -$21K -200 -0.01% $105.17 3.76M Nov 8, 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Nov 9, 2022 Direct F1
transaction COF Common Stock Sale -$1.02M -9.91K -0.26% $103.11 3.76M Nov 9, 2022 Direct F1, F4
transaction COF Common Stock Sale -$274K -2.63K -0.07% $104.11 3.76M Nov 9, 2022 Direct F1, F5

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 -20% $0.00 50.1K Nov 8, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -25% $0.00 37.6K Nov 9, 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 $104.14 to $105.12. 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 $105.16 to $105.18. 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 $102.80 to $103.68. 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 $103.85 to $104.32. Information regarding the number of shares sold at each price will be provided upon request.