Capital One affiliate reports Common stock sales

Capital One affiliate reported proposed sales of Common stock.

Rhea-AI Filing Summary

Capital One affiliate reported proposed sales of Common stock. Celia Edwards Karam submitted Form 144 entries showing sales on 02/02/2026 of 2,108 shares for $460,071.00, on 03/02/2026 of 1,636 shares for $312,476.00, and on 04/01/2026 of 1,099 shares for $203,985.39. The broker listed is Morgan Stanley Smith Barney LLC.

Key Figures

Sale on 02/02/2026: 2,108 shares Sale on 03/02/2026: 1,636 shares Sale on 04/01/2026: 1,099 shares +1 more

4 metrics

Sale on 02/02/2026 2,108 shares proceeds $460,071.00

Sale on 03/02/2026 1,636 shares proceeds $312,476.00

Sale on 04/01/2026 1,099 shares proceeds $203,985.39

Broker Morgan Stanley Smith Barney LLC 1 New York Plaza, 8th Floor, New York, NY 10004

Key Terms

Form 144, Performance Shares, Employee Stock Purchase Plan, Issuer

4 terms

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

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.

Performance Shares financial

"03/10/2025 | Performance Shares | ISSUER"

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.

Employee Stock Purchase Plan financial

"02/28/2025 | Employee Stock Purchase Plan | ISSUER"

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.

Issuer regulatory

"Performance Shares | ISSUER"

FAQ

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

What does the COF Form 144 filing show?

The filing shows proposed sales by Celia Edwards Karam of Common stock on 02/02/2026, 03/02/2026, and 04/01/2026. Each entry lists share counts and cash proceeds reported through Morgan Stanley Smith Barney LLC.

How many shares did the filer report selling in each COF entry?

The entries list 2,108 shares on 02/02/2026, 1,636 shares on 03/02/2026, and 1,099 shares on 04/01/2026. Each row pairs the share count with the cash proceeds for that sale.

What proceeds were reported for the COF sales?

Proceeds reported are $460,071.00 for the 02/02/2026 sale, $312,476.00 for 03/02/2026, and $203,985.39 for 04/01/2026. These figures appear next to each sale line.

Which broker is listed on the COF Form 144 entries?

The broker shown is Morgan Stanley Smith Barney LLC, with an address listed as 1 New York Plaza, 8th Floor, New York, NY 10004. The filing pairs the broker with the Common stock sale notices.

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

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Accepted by SEC EDGAR 05/01/2026 - 04:01 PM EDT 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	0001741344
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	CELIA EDWARDS KARAM
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	1749	336822.42	621931593	05/01/2026	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	03/10/2025	Performance Shares	ISSUER			1737	03/10/2025	Not Applicable
Common	02/28/2025	Employee Stock Purchase Plan	ISSUER			12	02/28/2025	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
CELIA EDWARDS KARAM 1680 Capital One Drive McLean VA 22102	Common	04/01/2026	1099	203985.39
CELIA EDWARDS KARAM 1680 Capital One Drive McLean VA 22102	Common	03/02/2026	1636	312476.00
CELIA EDWARDS KARAM 1680 Capital One Drive McLean VA 22102	Common	02/02/2026	2108	460071.00

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 2/28/2025 through 4/30/2025.
Date of Notice	05/01/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/14/2025
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/ Celia Karam
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)