COF Form 144 filing lists 103,486 shares for potential sale

Rhea-AI Filing Summary

Capital One Financial (COF) received a Form 144 notice for a proposed sale of 103,486 common shares. The filing lists an aggregate market value of $23,354,894.42, with Morgan Stanley Smith Barney LLC Executive Financial Services named as broker. The approximate sale date is 10/27/2025, and the shares are listed on the NYSE.

The notice shows sources of stock: 53,486 shares tied to a stock option exercise on 10/27/2025 paid in cash, and 50,000 shares from exercised shares on 07/27/2021, also paid in cash. Company common shares outstanding are reported at 639,517,306.

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

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	103486	23354894.42	639517306	10/27/2025	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	10/27/2025	Stock Option Exercise	ISSUER			53486	10/27/2025	Cash
Common	07/27/2021	Exercised Shares	ISSUER			50000	07/27/2021	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 COF’s Form 144 filing disclose?

A proposed sale of 103,486 common shares with an aggregate market value of $23,354,894.42.

Who is the broker for the proposed COF share sale?

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

When is the approximate sale date for the COF shares?

The filing lists an approximate sale date of 10/27/2025.

On which exchange are the COF shares listed?

The shares are listed on the NYSE.

How many COF shares are outstanding?

The filing reports 639,517,306 common shares outstanding.

What are the sources of the COF shares to be sold?

The notice shows 53,486 shares from a stock option exercise on 10/27/2025 and 50,000 shares from exercised shares on 07/27/2021, both paid in cash.