CAPITAL ONE FINANCIAL CORP — Director's Dealing 2021

Mar 8, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPITAL ONE FINANCIAL CORP (COF)
CIK: 0000927628
Period of Report: 2021-03-04

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-04	Common Stock	M	29964	$70.96	Acquired	88676	Direct
2021-03-04	Common Stock	S	2677	$123.22	Disposed	85999	Direct
2021-03-04	Common Stock	S	5818	$124.21	Disposed	80181	Direct
2021-03-04	Common Stock	S	31414	$125.05	Disposed	48767	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-04	Stock Options	$70.96	M	29964	Disposed	2024-01-29	Common Stock (29964.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	759	Indirect

Footnotes

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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 $122.69 to $123.69. 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 $123.70 to $124.67. 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 $124.89 to $125.59. Information regarding the number of shares sold at each price will be provided upon request.

F5: 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.

F6: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.