Capital One director proposes $256K share sale

Peter Raskind also reported selling 1,681 shares on November 6, 2026, for gross proceeds of $339,208.99.

Available on EDGAR 11/09/2026 - 04:20 PM EST Accepted by SEC EDGAR 11/09/2026 - 04:20 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Capital One Financial Corp. (COF) director Peter Raskind reported a proposed sale of 1,260 common shares, with an aggregate market value of $255,780.00 and an approximate sale date of November 9, 2026. The shares are identified as restricted stock acquired from the issuer on May 8, 2026.

Key Figures

Proposed sale: 1,260 shares Aggregate market value: $255,780.00 Shares outstanding: 601,533,153 shares +2 more

5 metrics

Proposed sale 1,260 shares Common shares; approximate sale date November 9, 2026

Aggregate market value $255,780.00 Proposed sale

Shares outstanding 601,533,153 shares Issuer share count

Shares sold 1,681 shares November 6, 2026

Gross proceeds $339,208.99 Sale on November 6, 2026

Key Terms

Rule 10b5-1, Restricted Stock, Aggregate Market Value, Gross Proceeds

4 terms

Rule 10b5-1 regulatory

"If Relying on Rule 10b5-1"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

Restricted Stock financial

"Nature of Acquisition Transaction: 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.

Aggregate Market Value financial

"Aggregate Market Value"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

Gross Proceeds financial

"Gross Proceeds"

The total amount of cash a company receives from a financing event or sale before any fees, expenses, taxes or deductions are taken out. Investors watch gross proceeds because it shows the raw scale of new capital being raised—think of it as the paycheck amount before withholdings—which helps assess how much funding is available for operations, growth, debt payoff or how much shareholder dilution might occur once costs are removed.

FAQ

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

How many COF shares does Peter Raskind plan to sell?

The reported proposed sale is 1,260 common shares, with an aggregate market value of $255,780.00 and an approximate sale date of November 9, 2026.

When was Peter Raskind’s Rule 10b5-1 plan adopted or instructed?

The reported Rule 10b5-1 plan adoption or instruction date is July 23, 2026.

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

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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	0001181669
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	7037201000
Name of Person for Whose Account the Securities are To Be Sold	PETER RASKIND
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	Director

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	1260	255780.00	601533153	11/09/2026	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	05/08/2026	Restricted Stock	Issuer			1260	05/08/2026	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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
PETER RASKIND 1680 Capital One Drive McLean VA 22102	Common	11/06/2026	1681	339208.99

144: Remarks and Signature

Remarks
Date of Notice	11/09/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	07/23/2026
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/ Peter E Raskind
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)