Richard D. Fairbank - Nov 10, 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 10, 2022
Transactions value $
-$2,128,651
Form type
4
Date filed
11/15/2022, 03:06 PM
Previous filing
Nov 10, 2022
Next filing
Jan 30, 2023

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 10, 2022 Direct F1
transaction COF Common Stock Sale -$455K -4.22K -0.11% $107.73 3.77M Nov 10, 2022 Direct F1, F2
transaction COF Common Stock Sale -$903K -8.32K -0.22% $108.60 3.76M Nov 10, 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Nov 11, 2022 Direct F1
transaction COF Common Stock Sale -$314K -2.74K -0.07% $114.73 3.77M Nov 11, 2022 Direct F1, F4
transaction COF Common Stock Sale -$1.03M -8.9K -0.24% $115.88 3.76M Nov 11, 2022 Direct F1, F5
transaction COF Common Stock Sale -$104K -897 -0.02% $116.49 3.76M Nov 11, 2022 Direct F1, F6
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Nov 14, 2022 Direct F1
transaction COF Common Stock Sale -$1.44M -12.5K -0.33% $114.77 3.76M Nov 14, 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 -12.5K -33.33% $0.00 25.1K Nov 10, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -50% $0.00 12.5K Nov 11, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -100% $0.00* 0 Nov 14, 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 $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.