Richard D. Fairbank - 10 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
10 Nov 2022
Net transactions value
-$2,128,650
Form type
4
Filing time
15 Nov 2022, 15:06:40 UTC
Previous filing
10 Nov 2022
Next filing
30 Jan 2023
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 $706,084 +12,537 +0.33% $56.32 3,769,559 10 Nov 2022 Direct F1
transaction COF Common Stock Sale $454,621 -4,220 -0.11% $107.73 3,765,339 10 Nov 2022 Direct F1, F2
transaction COF Common Stock Sale $903,226 -8,317 -0.22% $108.60 3,757,022 10 Nov 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706,084 +12,537 +0.33% $56.32 3,769,559 11 Nov 2022 Direct F1
transaction COF Common Stock Sale $314,360 -2,740 -0.07% $114.73 3,766,819 11 Nov 2022 Direct F1, F4
transaction COF Common Stock Sale $1,031,332 -8,900 -0.24% $115.88 3,757,919 11 Nov 2022 Direct F1, F5
transaction COF Common Stock Sale $104,492 -897 -0.02% $116.49 3,757,022 11 Nov 2022 Direct F1, F6
transaction COF Common Stock Options Exercise $706,084 +12,537 +0.33% $56.32 3,769,559 14 Nov 2022 Direct F1
transaction COF Common Stock Sale $1,438,871 -12,537 -0.33% $114.77 3,757,022 14 Nov 2022 Direct F1, F7

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 -12,537 -33% $0.000000 25,074 10 Nov 2022 Common Stock 12,537 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,537 -50% $0.000000 12,537 11 Nov 2022 Common Stock 12,537 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,537 -100% $0.000000* 0 14 Nov 2022 Common Stock 12,537 $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 $107.23 to $108.20. 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 $108.30 to $109.01. 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 $114.25 to $115.22. 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 $115.40 to $116.37. Information regarding the number of shares sold at each price will be provided upon request.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.41 to $116.68. Information regarding the number of shares sold at each price will be provided upon request.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.40 to $115.28. Information regarding the number of shares sold at each price will be provided upon request.