CAPITAL ONE FINANCIAL CORP — Director's Dealing 2021

Jun 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2021-06-01

Reporting Person: SHATTUCK MAYO A III (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-01	Common Stock	M	7709	$54.07	Acquired	66939	Direct
2021-06-01	Common Stock	S	4620	$164.45	Disposed	62319	Direct
2021-06-01	Common Stock	S	3089	$165.17	Disposed	59230	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-01	Stock Options	$54.07	M	7709	Disposed	2022-05-07	Common Stock (7709.0)	Direct

Footnotes

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2021, 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 $163.85 to $164.83. 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 $164.90 to $165.59. Information regarding the number of shares sold at each price will be provided upon request.