Richard D. Fairbank - Nov 4, 2025 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Blaise F. Brennan (POA on file)
Stock symbol
COF
Transactions as of
Nov 4, 2025
Transactions value $
-$19,429,255
Form type
4
Date filed
11/6/2025, 05:03 PM
Previous filing
Oct 29, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
FAIRBANK RICHARD D Chairman and CEO, Director 1680 CAPITAL ONE DRIVE, MCLEAN /s/ Blaise F. Brennan (POA on file) 2025-11-06 0001238032

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $3.41M +53.5K +1.32% $63.73 4.1M Nov 4, 2025 Direct F1
transaction COF Common Stock Sale -$458K -2.1K -0.05% $218.07 4.1M Nov 4, 2025 Direct F1, F2
transaction COF Common Stock Sale -$1.34M -6.1K -0.15% $219.07 4.1M Nov 4, 2025 Direct F1, F3
transaction COF Common Stock Sale -$1.25M -5.68K -0.14% $220.23 4.09M Nov 4, 2025 Direct F1, F4
transaction COF Common Stock Sale -$7.61M -34.4K -0.84% $221.04 4.06M Nov 4, 2025 Direct F1, F5
transaction COF Common Stock Sale -$1.15M -5.17K -0.13% $221.75 4.05M Nov 4, 2025 Direct F1, F6
transaction COF Common Stock Sale -$848K -3.88K -0.1% $218.47 4.05M Nov 4, 2025 Direct F1, F7
transaction COF Common Stock Sale -$963K -4.39K -0.11% $219.31 4.04M Nov 4, 2025 Direct F1, F8
transaction COF Common Stock Sale -$3.61M -16.3K -0.4% $220.65 4.03M Nov 4, 2025 Direct F1, F9
transaction COF Common Stock Sale -$5.62M -25.4K -0.63% $221.29 4M Nov 4, 2025 Direct F1, F10

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 -53.5K -100% $0.00 0 Nov 4, 2025 Common Stock 53.5K $63.73 Direct
* 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 13, 2025, 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 $217.56 to $218.55. 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 $218.56 to $219.47. 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 $219.56 to $220.49. 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 $220.60 to $221.54. 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 $221.60 to $221.94. 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 $217.89 to $218.87. 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 $218.89 to $219.77. 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 $219.95 to $220.94. 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 $220.97 to $221.94. Information regarding the number of shares sold at each price will be provided upon request.