Capital One officer proposes $687K stock sale

The notice also lists three earlier sales of 3,500 shares each, dated July 7, August 4 and September 1, 2026.

Rhea-AI Filing Summary

Capital One Financial Corp. (COF) is identified as the issuer in a notice of Matthew Cooper’s proposed sale of 3,500 common shares, with an aggregate market value of $686,770 and an approximate sale date of October 6, 2026. Matthew Cooper is identified as an officer, and Morgan Stanley Smith Barney LLC is listed as the broker. The notice also lists three earlier sales of 3,500 shares each: September 1, August 4 and July 7, 2026, at reported aggregate market values of $749,350, $767,655 and $728,000, respectively.

Key Figures

Proposed sale: 3,500 shares Aggregate market value: $686,770 Issuer shares outstanding: 613,484,836 shares +3 more

6 metrics

Proposed sale 3,500 shares Approximate sale date: October 6, 2026

Aggregate market value $686,770 Proposed sale

Issuer shares outstanding 613,484,836 shares Figure shown in the notice

Aggregate market value $749,350 3,500 shares sold September 1, 2026

Aggregate market value $767,655 3,500 shares sold August 4, 2026

Aggregate market value $728,000 3,500 shares sold July 7, 2026

Key Terms

Rule 144, Performance Shares, Aggregate market value

3 terms

Rule 144 regulatory

"the definition of “person” in paragraph (a) of Rule 144"

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.

Performance Shares financial

"Performance Shares"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Aggregate market value financial

"Aggregate market value"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

FAQ

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

How many COF shares does Matthew Cooper propose to sell?

Matthew Cooper proposes to sell 3,500 common shares, with an aggregate market value of $686,770 and an approximate sale date of October 6, 2026.

What recent COF share sales by Matthew Cooper are listed?

The listed sales were 3,500 shares on September 1, 2026, at an aggregate market value of $749,350; 3,500 shares on August 4, 2026, at $767,655; and 3,500 shares on July 7, 2026, at $728,000.

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

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Available on EDGAR 10/06/2026 - 04:19 PM Accepted by SEC EDGAR 10/06/2026 - 04:19 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	0001727277
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	7037201000
Name of Person for Whose Account the Securities are To Be Sold	MATTHEW COOPER
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	3500	686770.00	613484836	10/06/2026	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	03/11/2022	Performance Shares	ISSUER			1866	03/11/2022	Not Applicable
Common	02/15/2024	Performance Shares	ISSUER			1634	02/15/2024	Not Applicable

* 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
MATTHEW COOPER 1680 Capital One Drive McLean VA 22102	Common	09/01/2026	3500	749350.00
MATTHEW COOPER 1680 Capital One Drive McLean VA 22102	Common	08/04/2026	3500	767655.00
MATTHEW COOPER 1680 Capital One Drive McLean VA 22102	Common	07/07/2026	3500	728000.00

144: Remarks and Signature

Remarks
Date of Notice	10/06/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	04/09/2026
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/ Matthew W Cooper
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)