Richard D. Fairbank - Aug 9, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Jason S. Frank (POA on file)
Stock symbol
COF
Transactions as of
Aug 9, 2023
Transactions value $
-$481,861
Form type
4
Date filed
8/11/2023, 05:31 PM
Previous filing
Aug 8, 2023
Next filing
Aug 15, 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 Aug 9, 2023 Direct F1
transaction COF Common Stock Sale -$444K -3.89K -0.1% $114.08 3.85M Aug 9, 2023 Direct F1
transaction COF Common Stock Options Exercise $276K +3.89K +0.1% $70.96 3.85M Aug 10, 2023 Direct F1
transaction COF Common Stock Sale -$438K -3.89K -0.1% $112.64 3.85M Aug 10, 2023 Direct F1
transaction COF Common Stock Options Exercise $276K +3.89K +0.1% $70.96 3.85M Aug 11, 2023 Direct F1
transaction COF Common Stock Sale -$428K -3.89K -0.1% $110.00 3.85M Aug 11, 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 -6.25% $0.00 58.4K Aug 9, 2023 Common Stock 3.89K $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3.89K -6.67% $0.00 54.5K Aug 10, 2023 Common Stock 3.89K $70.96 Direct F1
transaction COF Stock Options Options Exercise $0 -3.89K -7.14% $0.00 50.6K Aug 11, 2023 Common Stock 3.89K $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.