Richard D. Fairbank - 08 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
08 Nov 2022
Net transactions value
-$1,196,091
Form type
4
Filing time
10 Nov 2022, 15:07:28 UTC
Previous filing
08 Nov 2022
Next filing
15 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 08 Nov 2022 Direct F1
transaction COF Common Stock Sale $1,291,912 -12,338 -0.33% $104.71 3,757,222 08 Nov 2022 Direct F1, F2
transaction COF Common Stock Sale $21,034 -200 -0.01% $105.17 3,757,022 08 Nov 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,769,560 09 Nov 2022 Direct F1
transaction COF Common Stock Sale $1,021,408 -9,906 -0.26% $103.11 3,759,654 09 Nov 2022 Direct F1, F4
transaction COF Common Stock Sale $274,018 -2,632 -0.07% $104.11 3,757,022 09 Nov 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 -12,538 -20% $0.000000 50,149 08 Nov 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -25% $0.000000 37,611 09 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 $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.