RICHARD D. FAIRBANK - 27 Jul 2021 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role: Chairman, CEO and President, Director
Signature: /s/ Cleo Belmonte (POA on file)
Issuer symbol: COF
Transactions as of: 27 Jul 2021
Net transactions value: -$18,969,314
Form type: 4
Filing time: 29 Jul 2021, 16:20:59 UTC
Next filing: 31 Jan 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	COF	Common Stock	Options Exercise	$16,465,837	+359,909	+9.9%	$45.75	3,977,787	27 Jul 2021	Direct	F1, F2
transaction	COF	Common Stock	Sale	$2,745,280	-17,158	-0.43%	$160.00	3,960,629	27 Jul 2021	Direct	F1, F3
transaction	COF	Common Stock	Sale	$6,296,134	-39,121	-0.99%	$160.94	3,921,508	27 Jul 2021	Direct	F1, F4
transaction	COF	Common Stock	Sale	$18,683,139	-115,385	-2.9%	$161.92	3,806,123	27 Jul 2021	Direct	F1, F5
transaction	COF	Common Stock	Sale	$7,203,810	-44,225	-1.2%	$162.89	3,761,898	27 Jul 2021	Direct	F1, F6
transaction	COF	Common Stock	Sale	$506,788	-3,100	-0.08%	$163.48	3,758,798	27 Jul 2021	Direct	F1, F7

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	-359,909	-100%	$0.000000	100	27 Jul 2021	Common Stock	359,909	$45.75	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 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2	Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3	The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.39 to $160.37. 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 $160.40 to $161.39. 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 $161.40 to $162.39. 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 $162.40 to $163.39. 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 $163.40 to $163.66. Information regarding the number of shares sold at each price will be provided upon request.