Robert M. Alexander - Dec 14, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role: Chief Information Officer
Signature: /s/ Cleo Belmonte (POA on file)
Stock symbol: COF
Transactions as of: Dec 14, 2023
Transactions value $: -$1,039,740
Form type: 4
Date filed: 12/18/2023, 05:06 PM
Previous filing: Aug 4, 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	Sale	-$1.04M	-8K	-10.66%	$130.00	67K	Dec 14, 2023	Direct	F1
holding	COF	Common Stock						100	Dec 14, 2023	The Alexander Fund
holding	COF	Common Stock						2	Dec 14, 2023	Robert M. Alexander UGMA

* 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 May 3, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.