Robert M. Alexander - Dec 14, 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Signature
/s/ Cleo Belmonte (POA on file)
Stock symbol
COF
Transactions as of
Dec 14, 2023
Transactions value $
-$1,039,740
Form type
4
Date filed
12/18/2023, 05:06 PM
Previous filing
Aug 4, 2023
Next filing
Feb 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$1.04M -8K -10.66% $130.00 67K Dec 14, 2023 Direct F1
holding COF Common Stock 100 Dec 14, 2023 The Alexander Fund
holding COF Common Stock 2 Dec 14, 2023 Robert M. Alexander UGMA
* 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 3, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.