Richard D. Fairbank - Jul 29, 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Jul 29, 2022
Transactions value $
-$1,292,851
Form type
4
Date filed
8/2/2022, 04:08 PM
Previous filing
Jul 29, 2022
Next filing
Aug 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Jul 29, 2022 Direct F1
transaction COF Common Stock Sale -$406K -3.76K -0.1% $108.00 3.77M Jul 29, 2022 Direct F1, F2
transaction COF Common Stock Sale -$955K -8.78K -0.23% $108.80 3.76M Jul 29, 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706K +12.5K +0.33% $56.32 3.77M Aug 1, 2022 Direct F1
transaction COF Common Stock Sale -$669K -6.28K -0.17% $106.54 3.77M Aug 1, 2022 Direct F1, F4
transaction COF Common Stock Sale -$395K -3.68K -0.1% $107.37 3.76M Aug 1, 2022 Direct F1, F5
transaction COF Common Stock Sale -$279K -2.57K -0.07% $108.54 3.76M Aug 1, 2022 Direct F1, F6

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 -12.5K -4.55% $0.00 263K Jul 29, 2022 Common Stock 12.5K $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12.5K -4.76% $0.00 251K Aug 1, 2022 Common Stock 12.5K $56.32 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $107.60 to $108.58. 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 $108.60 to $109.10. 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 $106.15 to $107.14. 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 $107.15 to $108.12. 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 $108.31 to $108.80. Information regarding the number of shares sold at each price will be provided upon request.