MAYO A. SHATTUCK III - 01 Jun 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Director
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
01 Jun 2021
Net transactions value
-$853,144
Form type
4
Filing time
03 Jun 2021, 16:18:07 UTC
Previous filing
10 May 2021
Next filing
01 Jul 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $416,826 +7,709 +13% $54.07 66,939 01 Jun 2021 Direct F1
transaction COF Common Stock Sale $759,759 -4,620 -6.9% $164.45 62,319 01 Jun 2021 Direct F1, F2
transaction COF Common Stock Sale $510,210 -3,089 -5% $165.17 59,230 01 Jun 2021 Direct F1, F3

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 -7,709 -100% $0.000000* 0 01 Jun 2021 Common Stock 7,709 $54.07 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 April 29, 2021, 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 $163.85 to $164.83. 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 $164.90 to $165.59. Information regarding the number of shares sold at each price will be provided upon request.