RICHARD D. FAIRBANK - 27 Oct 2025 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Blaise F. Brennan (POA on file)
Issuer symbol
COF
Transactions as of
27 Oct 2025
Transactions value $
-$19,946,125
Form type
4
Filing time
29 Oct 2025, 17:35:37 UTC
Previous filing
05 Jun 2025
Next filing
06 Nov 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
FAIRBANK RICHARD D Chairman and CEO, Director 1680 CAPITAL ONE DRIVE, MCLEAN /s/ Blaise F. Brennan (POA on file) 29 Oct 2025 0001238032

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $3.41M +53.5K +1.3% $63.73 4.15M 27 Oct 2025 Direct F1, F2
transaction COF Common Stock Sale -$2.87M -12.8K -0.31% $224.53 4.14M 27 Oct 2025 Direct F1, F3
transaction COF Common Stock Sale -$3.87M -17.2K -0.41% $225.39 4.12M 27 Oct 2025 Direct F1, F4
transaction COF Common Stock Sale -$4.85M -21.4K -0.52% $226.43 4.1M 27 Oct 2025 Direct F1, F5
transaction COF Common Stock Sale -$483K -2.12K -0.05% $227.42 4.1M 27 Oct 2025 Direct F1, F6
transaction COF Common Stock Sale -$2.85M -12.7K -0.31% $224.56 4.09M 27 Oct 2025 Direct F1, F7
transaction COF Common Stock Sale -$3.57M -15.8K -0.39% $225.43 4.07M 27 Oct 2025 Direct F1, F8
transaction COF Common Stock Sale -$4.41M -19.5K -0.48% $226.43 4.05M 27 Oct 2025 Direct F1, F9
transaction COF Common Stock Sale -$460K -2.02K -0.05% $227.42 4.05M 27 Oct 2025 Direct F1, F10

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 -53.5K -50% $0.00 53.5K 27 Oct 2025 Common Stock 53.5K $63.73 Direct
* 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 13, 2025, 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 $223.90 to $224.89. 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 $224.91 to $225.88. 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 $225.92 to $226.91. 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 $227.00 to $227.59. 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 $223.93 to $224.91. Information regarding the number of shares sold at each price will be provided upon request.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.93 to $225.92. Information regarding the number of shares sold at each price will be provided upon request.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.93 to $226.91. Information regarding the number of shares sold at each price will be provided upon request.
F10 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.00 to $227.59. Information regarding the number of shares sold at each price will be provided upon request.