Richard D. Fairbank - Aug 4, 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
Aug 4, 2023
Transactions value $
-$490,772
Form type
4
Date filed
8/8/2023, 07:24 PM
Previous filing
Aug 3, 2023
Next filing
Aug 11, 2023

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 Aug 4, 2023 Direct F1
transaction COF Common Stock -Sell -$438,049 -3,891 -0.1% $112.58 3,848,406 Aug 4, 2023 Direct F1
transaction COF Common Stock +Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 Aug 7, 2023 Direct F1
transaction COF Common Stock -Sell -$443,963 -3,891 -0.1% $114.10 3,848,406 Aug 7, 2023 Direct F1
transaction COF Common Stock +Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 Aug 8, 2023 Direct F1
transaction COF Common Stock -Sell -$437,076 -3,891 -0.1% $112.33 3,848,406 Aug 8, 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 -5.26% $0.00 70,034 Aug 4, 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options -Options Exercise $0 -3,891 -5.56% $0.00 66,143 Aug 7, 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options -Options Exercise $0 -3,891 -5.88% $0.00 62,252 Aug 8, 2023 Common Stock 3,891 $70.96 Direct F1

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.