Capital One Financial (NYSE: COF) holder plans Rule 144 sale of 2,937 shares

Rhea-AI Filing Summary

A holder of COF common stock has filed a notice of proposed sale under Rule 144. The notice covers up to 2,937 common shares to be sold through Morgan Stanley Smith Barney LLC on the NYSE, with an indicated aggregate market value of $640,706.55. The filing notes that 635,733,605 common shares were outstanding.

The shares to be sold were originally acquired from the issuer on 04/30/2021, including 2,914 shares received as performance shares and 23 shares purchased through an Employee Stock Purchase Plan, with cash used for the ESPP purchase. The notice also includes standard representations that the seller is not aware of undisclosed material adverse information about the issuer.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	2937	640706.55	635733605	12/01/2025	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	04/30/2021	Performance Shares	ISSUER			2914	04/30/2021	Not Applicable
Common	04/30/2021	Employee Stock Purchase Plan	ISSUER			23	04/30/2021	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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does this Form 144 filing for COF disclose?

The filing discloses that a holder of COF common stock intends to sell up to 2,937 shares under Rule 144, using Morgan Stanley Smith Barney LLC to execute the trades on the NYSE, with an aggregate market value of $640,706.55 as stated in the notice.

How many COF shares are covered by this proposed Rule 144 sale?

The notice covers a proposed sale of up to 2,937 shares of COF common stock. These shares are listed with an aggregate market value of $640,706.55 in the filing.

When and how were the COF shares in this Form 144 acquired?

The shares were acquired on 04/30/2021 from the issuer. The filing shows 2,914 shares received as performance shares with a payment description of "Not Applicable," and 23 shares acquired through an Employee Stock Purchase Plan with payment in cash on the same date.

What does the Form 144 say about COF shares outstanding?

The securities information section states that 635,733,605 shares of COF common stock were outstanding. This figure provides a baseline for the company’s total share count as referenced in the notice.

Which broker and exchange are listed for the COF Rule 144 sale?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services, with trades to occur on the NYSE as named in the securities information table.

What representations does the seller make in this COF Form 144 notice?

The seller represents that they do not know any material adverse information about the current or prospective operations of the issuer that has not been publicly disclosed, consistent with the standard Rule 144 notice language included in the form.