Richard D. Fairbank - 09 Aug 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Jason S. Frank (POA on file)
Issuer symbol
COF
Transactions as of
09 Aug 2023
Net transactions value
-$481,861
Form type
4
Filing time
11 Aug 2023, 17:31:50 UTC
Previous filing
08 Aug 2023
Next filing
15 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 09 Aug 2023 Direct F1
transaction COF Common Stock Sale $443,885 -3,891 -0.1% $114.08 3,848,406 09 Aug 2023 Direct F1
transaction COF Common Stock Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 10 Aug 2023 Direct F1
transaction COF Common Stock Sale $438,282 -3,891 -0.1% $112.64 3,848,406 10 Aug 2023 Direct F1
transaction COF Common Stock Options Exercise $276,105 +3,891 +0.1% $70.96 3,852,297 11 Aug 2023 Direct F1
transaction COF Common Stock Sale $428,010 -3,891 -0.1% $110.00 3,848,406 11 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 -6.3% $0.000000 58,361 09 Aug 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3,891 -6.7% $0.000000 54,470 10 Aug 2023 Common Stock 3,891 $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3,891 -7.1% $0.000000 50,579 11 Aug 2023 Common Stock 3,891 $70.96 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 10, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.