Richard D. Fairbank - Jul 28, 2023 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
Jul 28, 2023
Transactions value $
-$348,011
Form type
4
Date filed
8/1/2023, 05:14 PM
Previous filing
Jul 28, 2023
Next filing
Aug 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $276K +3.89K +0.1% $70.96 3.85M Jul 28, 2023 Direct F1
transaction COF Common Stock Sale -$452K -3.89K -0.1% $116.19 3.85M Jul 28, 2023 Direct F1
transaction COF Common Stock Options Exercise $276K +3.89K +0.1% $70.96 3.85M Jul 31, 2023 Direct F1
transaction COF Common Stock Sale -$448K -3.89K -0.1% $115.17 3.85M Jul 31, 2023 Direct F1

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 -3.89K -4.17% $0.00 89.5K Jul 28, 2023 Common Stock 3.89K $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3.89K -4.35% $0.00 85.6K Jul 31, 2023 Common Stock 3.89K $70.96 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 10, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.