CAPITAL ONE FINANCIAL CORP — Director's Dealing 2020

Dec 22, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2020-12-21

Reporting Person: LaPrade,III Frank G. (Chief Enterprise Srvcs Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-21	Common Stock	M	32603	$56.32	Acquired	84110	Direct
2020-12-21	Common Stock	S	32603	$95	Disposed	51507	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-21	Stock Options	$56.32	M	32603	Disposed	2023-01-30	Common Stock (32603.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	762	Indirect

Footnotes

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2: 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.

F3: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.