Richard D. Fairbank - 01 Aug 2023 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
01 Aug 2023
Net transactions value
-$509,215
Form type
4
Filing time
03 Aug 2023, 19:00:50 UTC
Previous filing
01 Aug 2023
Next filing
08 Aug 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 $276,105 +3,891 +0.1% $70.96 3,852,297 01 Aug 2023 Direct F1
transaction COF Common Stock Sale $452,134 -3,891 -0.1% $116.20 3,848,406 01 Aug 2023 Direct F1
transaction COF Common Stock Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 02 Aug 2023 Direct F1
transaction COF Common Stock Sale $446,453 -3,891 -0.1% $114.74 3,848,406 02 Aug 2023 Direct F1
transaction COF Common Stock Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 03 Aug 2023 Direct F1
transaction COF Common Stock Sale $438,944 -3,891 -0.1% $112.81 3,848,406 03 Aug 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 -3,891 -4.5% $0.000000 81,707 01 Aug 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3,891 -4.8% $0.000000 77,816 02 Aug 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3,891 -5% $0.000000 73,925 03 Aug 2023 Common Stock 3,891 $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.