ANN F. HACKETT - 12 Dec 2023 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Director
Signature
/s/ Jason S. Frank (POA on file)
Issuer symbol
COF
Transactions as of
12 Dec 2023
Transactions value $
-$730,600
Form type
4
Filing time
14 Dec 2023, 17:44:37 UTC
Previous filing
17 Nov 2023
Next filing
18 Dec 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$240K -2K -3.23% $120.00 60K 12 Dec 2023 Direct F1
transaction COF Common Stock Sale -$250K -2K -3.33% $125.00 58K 13 Dec 2023 Direct F1
transaction COF Common Stock Sale -$241K -2.01K -40.06% $120.00 3K 12 Dec 2023 By Spouse F2
* 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 August 8, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 This transaction was executed pursuant to a trading plan entered into by the reporting person's spouse on August 8, 2023, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.