Richard D. Fairbank - Nov 10, 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
Nov 10, 2023
Transactions value $
-$397,130
Form type
4
Date filed
11/14/2023, 05:18 PM
Previous filing
Nov 9, 2023
Next filing
Feb 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock +Options Exercise $276,034 +3,890 +0.1% $70.96 3,852,302 Nov 10, 2023 Direct F1
transaction COF Common Stock -Sell -$404,560 -3,890 -0.1% $104.00 3,848,412 Nov 10, 2023 Direct F1
transaction COF Common Stock +Options Exercise $276,034 +3,890 +0.1% $70.96 3,852,302 Nov 13, 2023 Direct F1
transaction COF Common Stock -Sell -$404,716 -3,890 -0.1% $104.04 3,848,412 Nov 13, 2023 Direct F1
transaction COF Common Stock +Options Exercise $276,034 +3,890 +0.1% $70.96 3,852,302 Nov 14, 2023 Direct F1
transaction COF Common Stock -Sell -$415,958 -3,890 -0.1% $106.93 3,848,412 Nov 14, 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 -3,890 -33.33% $0.00 7,780 Nov 10, 2023 Common Stock 3,890 $70.96 Direct F1
transaction COF Stock Options -Options Exercise $0 -3,890 -50% $0.00 3,890 Nov 13, 2023 Common Stock 3,890 $70.96 Direct F1
transaction COF Stock Options -Options Exercise $0 -3,890 -100% $0.00 0 Nov 14, 2023 Common Stock 3,890 $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.