COF: Form 144 reports 1,307-share sale

Company common stock sale notice: a Form 144 filed in connection with a proposed sale of 1,307 shares of Common Stock on 05/13/2026.

Rhea-AI Filing Summary

Company common stock sale notice: a Form 144 filed in connection with a proposed sale of 1,307 shares of Common Stock on 05/13/2026. The filing shows a prior sale on 05/12/2026 of 1,307 shares for $240,396.21 by Kaitlin Haggerty.

The filing lists Morgan Stanley Smith Barney LLC Executive Financial Services as the broker and indicates cash as the consideration. This is a routine Rule 144 notice of intended resale under the issuer’s trading rules.

Insights

Securities Compliance Counsel

Routine Rule 144 resale notice for 1,307 shares, brokered by Morgan Stanley Smith Barney.

The Form 144 lists a proposed sale date of 05/13/2026 and records a prior disposition on 05/12/2026 of 1,307 shares for $240,396.21. The broker is identified as Morgan Stanley Smith Barney LLC Executive Financial Services.

Timing and exact sale mechanics are determined by the broker and issuer trading restrictions; subsequent SEC or broker reports would show execution details. Cash treatment is stated; additional disclosures would appear only if required by subsequent filings.

Key Figures

Form type: Form 144 Shares reported: 1,307 shares Prior sale proceeds: $240,396.21 +1 more

4 metrics

Form type Form 144 Rule 144 resale notice

Shares reported 1,307 shares <date>05/13/2026</date> proposed sale and <date>05/12/2026</date> prior sale

Prior sale proceeds $240,396.21 Proceeds reported for sale on <date>05/12/2026</date>

Broker Morgan Stanley Smith Barney LLC Listed as executing broker/executive financial services

Key Terms

Rule 144, Form 144, Proposed sale date

3 terms

Rule 144 regulatory

"Form 144 resale notice for proposed sale of shares"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Form 144 regulatory

"Securities sale notice showing proposed sale date and broker"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Proposed sale date other

"Proposed sale date of 05/13/2026 listed in the filing"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 for COF disclose?

The Form 144 discloses a proposed resale of 1,307 shares of common stock with a proposed sale date of 05/13/2026. It records a prior sale on 05/12/2026 for $240,396.21 by Kaitlin Haggerty.

Who is handling the sale reported on the COF Form 144?

The filing lists Morgan Stanley Smith Barney LLC Executive Financial Services as the broker. The Form also indicates the sale method involved cash consideration and a transaction date of 05/13/2026.

How many shares and what value are shown in the COF filing?

The Form 144 shows 1,307 shares with a recorded prior sale amount of $240,396.21. The dates tied to these figures are 05/12/2026 and 05/13/2026.

Who is the reported seller in the COF Form 144?

The filing names Kaitlin Haggerty at the listed address and attributes the prior sale of 1,307 shares on 05/12/2026 for $240,396.21. The broker is Morgan Stanley Smith Barney LLC.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/13/2026 - 04:20 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001905899
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CAPITAL ONE FINANCIAL CORPORATION
SEC File Number	001-13300
Address of Issuer	1680 Capital One Drive McLean VIRGINIA 22102
Phone	(703) 720-1000
Name of Person for Whose Account the Securities are To Be Sold	KAITLIN HAGGERTY
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	119	21728.10	622292783	05/13/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/13/2026	OSPS	ISSUER			119	05/13/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
KAITLIN HAGGERTY 1680 Capital One Drive McLean VA 22102	Common	05/12/2026	1307	240396.21

144: Remarks and Signature

Remarks
Date of Notice	05/13/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	02/06/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Kaitlin Haggerty
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)