Frank G. LaPradeIII - Nov 13, 2025 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chief Enterprise Srvcs Officer
Signature
/s/ Katherine DeLuca (POA on file)
Stock symbol
COF
Transactions as of
Nov 13, 2025
Transactions value $
-$3,961,081
Form type
4
Date filed
11/17/2025, 04:54 PM
Previous filing
Jun 5, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
LaPrade,III Frank G. Chief Enterprise Srvcs Officer 1680 CAPITAL ONE DRIVE, MCLEAN /s/ Katherine DeLuca (POA on file) 2025-11-17 0001497948

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Sale -$944K -4.28K -6.46% $220.84 61.9K Nov 13, 2025 Direct F1, F2
transaction COF Common Stock Sale -$3.02M -13.6K -21.92% $222.41 48.3K Nov 13, 2025 Direct F1, F3
holding COF Common Stock 818 Nov 13, 2025 By 401(k) F4
* 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 14, 2025, 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 $220.61 to $221.57. 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 $221.95 to $222.94. Information regarding the number of shares sold at each price will be provided upon request.
F4 Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.