Robert M. Alexander - Jul 17, 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Signature
/s/ Jason S. Frank (POA on file)
Stock symbol
COF
Transactions as of
Jul 17, 2024
Transactions value $
-$2,768,200
Form type
4
Date filed
7/19/2024, 04:23 PM
Previous filing
Mar 13, 2024
Next filing
Nov 12, 2024

Transactions Table

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 -21.3K -100% $0.00* 0 Jul 17, 2024 Common Stock 21.3K $86.34 Direct F1, 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 May 3, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 This option became fully exercisable on February 15, 2020.