Capital One (COF) Form 144 filing for 43,200-share sale

Rhea-AI Filing Summary

Capital One Financial (COF) received a Form 144 notice of proposed sale for up to 43,200 common shares with an aggregate market value of $9,583,181.45. The filing lists Morgan Stanley Smith Barney LLC Executive Financial Services as broker, an approximate sale date of 11/06/2025, and the NYSE as the exchange.

The shares were acquired as restricted stock from the issuer on three dates: 22,920 on 01/31/2023, 14,767 on 01/31/2024, and 5,513 on 01/31/2025. As context, 635,733,605 shares were outstanding. A Form 144 is a notice by or for a person intending to sell restricted or control securities under Rule 144.

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Accepted by SEC EDGAR 11/06/2025 - 04:02 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
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	43200	9583181.45	635733605	11/06/2025	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	01/31/2025	Restricted Stock	ISSUER			5513	01/31/2025	Not Applicable
Common	01/31/2023	Restricted Stock	ISSUER			22920	01/31/2023	Not Applicable
Common	01/31/2024	Restricted Stock	ISSUER			14767	01/31/2024	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

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 the COF Form 144 filing disclose?

A planned sale of up to 43,200 common shares with an aggregate market value of $9,583,181.45, to be sold on the NYSE.

Who is the broker for the proposed COF share sale?

The filing lists Morgan Stanley Smith Barney LLC Executive Financial Services as broker.

When is the approximate sale date for the COF shares?

The notice states an approximate sale date of 11/06/2025.

How were the COF shares to be sold originally acquired?

They were acquired as restricted stock from the issuer on 01/31/2023, 01/31/2024, and 01/31/2025.

How many COF shares are outstanding for context?

The filing lists 635,733,605 shares outstanding.

What is Form 144 in relation to COF?

It is a notice of proposed sale under Rule 144 for restricted or control securities by or for a person whose sales may be subject to that rule.