Michael Zamsky - Nov 12, 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
Nov 12, 2024
Transactions value $
-$2,005,492
Form type
4
Date filed
11/14/2024, 05:06 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 -$1.22M -6.42K -17.34% $190.01 30.6K Nov 12, 2024 Direct F1, F2
transaction COF Common Stock Sale -$786K -4.12K -13.47% $190.64 26.5K Nov 12, 2024 Direct F1, F3
* 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 13, 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 $189.50 to $190.46. 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 $190.52 to $191.05. Information regarding the number of shares sold at each price will be provided upon request.