Kevin S. Borgmann - 06 Aug 2024 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Signature
/s/ Jason S. Frank (POA on file)
Issuer symbol
COF
Transactions as of
06 Aug 2024
Net transactions value
-$6,139,225
Form type
4
Filing time
08 Aug 2024, 17:38:49 UTC
Previous filing
13 Mar 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $2,036,070 +23,582 +30% $86.34 102,466 06 Aug 2024 Direct F1
transaction COF Common Stock Sale $464,302 -3,537 -3.5% $131.27 98,929 06 Aug 2024 Direct F1, F2
transaction COF Common Stock Sale $496,279 -3,754 -3.8% $132.20 95,175 06 Aug 2024 Direct F1, F3
transaction COF Common Stock Sale $2,172,731 -16,291 -17% $133.37 78,884 06 Aug 2024 Direct F1, F4
transaction COF Common Stock Sale $328,594 -2,503 -3.2% $131.28 76,381 06 Aug 2024 Direct F1, F5
transaction COF Common Stock Sale $346,760 -2,622 -3.4% $132.25 73,759 06 Aug 2024 Direct F1, F6
transaction COF Common Stock Sale $1,510,415 -11,325 -15% $133.37 62,434 06 Aug 2024 Direct F1, F4
transaction COF Common Stock Sale $140,143 -1,068 -1.7% $131.22 61,366 06 Aug 2024 Direct F1, F7
transaction COF Common Stock Sale $173,275 -1,311 -2.1% $132.17 60,055 06 Aug 2024 Direct F1, F8
transaction COF Common Stock Sale $707,394 -5,304 -8.8% $133.37 54,751 06 Aug 2024 Direct F1, F9
transaction COF Common Stock Sale $306,956 -2,338 -4.3% $131.29 52,413 06 Aug 2024 Direct F1, F10
transaction COF Common Stock Sale $290,906 -2,200 -4.2% $132.23 50,213 06 Aug 2024 Direct F1, F11
transaction COF Common Stock Sale $1,237,540 -9,279 -18% $133.37 40,934 06 Aug 2024 Direct F1, F12

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 -23,582 -100% $0.000000* 0 06 Aug 2024 Common Stock 23,582 $86.34 Direct F13
* 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 April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.83 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.84 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.86 to $131.84. Information regarding the number of shares sold at each price will be provided upon request.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.84. Information regarding the number of shares sold at each price will be provided upon request.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.74 to $131.64. Information regarding the number of shares sold at each price will be provided upon request.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.77 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.67. Information regarding the number of shares sold at each price will be provided upon request.
F10 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.85 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.
F11 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.
F12 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.98 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.
F13 These options became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.