Frank G. LaPradeIII - Oct 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
Oct 17, 2024
Transactions value $
-$2,520,160
Form type
4
Date filed
10/21/2024, 04:17 PM
Previous filing
Mar 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$2.52M -15.8K -26.05% $160.00 44.7K Oct 17, 2024 Direct F1
holding COF Common Stock 812 Oct 17, 2024 By 401(k) 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 14, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.