COF Form 144: Proposed sale of common shares

COF files a Form 144 proposing sales of common stock.

Rhea-AI Filing Summary

COF files a Form 144 proposing sales of common stock. The notice, dated 05/12/2026, lists proposed sales tied to an Employee Stock Purchase Plan and restricted stock awards. The filing shows proposed quantities of 758, 264, and 285 shares and identifies the NYSE as the exchange.

Insights

Securities Compliance Counsel

Form 144 notifies the market of proposed resale under Rule 144.

Form 144 is a notice of an intended resale of restricted or control securities; it does not itself effect a sale. The filing lists proposed sales of specific common share lots associated with an Employee Stock Purchase Plan and restricted stock awards.

Timing and receipt of proceeds are not stated in the excerpt. Subsequent Form 4, broker reports, or trade confirmations would show whether and when these proposed sales occur.

Key Figures

Filing date: 05/12/2026 Proposed shares - ESPP lot: 758 shares Proposed shares - Restricted 02/15/2024: 264 shares +2 more

5 metrics

Filing date 05/12/2026 Form 144 notice date

Proposed shares - ESPP lot 758 shares Employee Stock Purchase Plan, 04/30/2022

Proposed shares - Restricted 02/15/2024 264 shares Restricted Stock, 02/15/2024

Proposed shares - Restricted 02/15/2023 285 shares Restricted Stock, 02/15/2023

Header quantity (possible aggregate) 1,307 Value appearing in securities information header

Key Terms

Form 144, Employee Stock Purchase Plan, Restricted Stock

3 terms

Form 144 regulatory

"144: Securities To Be Sold"

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.

Employee Stock Purchase Plan financial

"Common | 04/30/2022 | Employee Stock Purchase Plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Restricted Stock financial

"Common | 02/15/2024 | Restricted Stock"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

FAQ

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

What does COF's Form 144 filed 05/12/2026 mean?

It is a regulatory notice of intended resale of restricted or plan shares. The filing lists proposed sales of common stock under an Employee Stock Purchase Plan and restricted stock awards, indicating planned transactions but not confirming they have occurred.

How many shares does the COF Form 144 list for sale?

The excerpt lists proposed quantities of 758, 264, and 285 shares. These figures appear next to plan or award types in the filing and reflect proposed lots tied to employee plan or restricted stock award sources.

Does the Form 144 indicate who will receive the sale proceeds?

The excerpt identifies the securities as "ISSUER" source for the listed awards. The filing text does not state the cash‑flow recipient or intended use of proceeds in the provided excerpt.

Will these proposed sales immediately affect COF's outstanding shares?

A Form 144 is a notice, not a transfer of title. The filing does not confirm completed trades; actual changes to outstanding shares would occur only if and when the transactions settle and are reported in subsequent disclosures.

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

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Accepted by SEC EDGAR 05/12/2026 - 04:47 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	1307	240396.21	622292783	05/12/2026	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	04/30/2022	Employee Stock Purchase Plan	ISSUER			758	04/30/2022	Cash
Common	02/15/2024	Restricted Stock	ISSUER			264	02/15/2024	Not Applicable
Common	02/15/2023	Restricted Stock	ISSUER			285	02/15/2023	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	The securities to be sold were acquired upon the purchase of Employee Stock Purchase Plan shares during the period of 04/30/2022 through 4/30/2025.
Date of Notice	05/12/2026
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)