Mark Daniel Mouadeb - Jun 2, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
President, U.S. Card
Signature
/s/ Cleo V. Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Jun 2, 2023
Transactions value $
-$51,590
Form type
4
Date filed
6/6/2023, 04:09 PM
Previous filing
Feb 17, 2023
Next filing
Jul 20, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$51.6K -469 -2.78% $110.00 16.4K Jun 2, 2023 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.