Ann F. Hackett - Dec 14, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Director
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Dec 14, 2023
Transactions value $
-$780,000
Form type
4
Date filed
12/18/2023, 05:07 PM
Previous filing
Dec 14, 2023
Next filing
May 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$390K -3K -5.17% $130.00 55K Dec 14, 2023 Direct F1
transaction COF Common Stock Sale -$390K -3K -100% $130.00 0 Dec 14, 2023 By Spouse F2
* 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 August 8, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 This transaction was executed pursuant to a trading plan entered into by the reporting person's spouse on August 8, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.