Capital One (NYSE: COF) plans NYSE sale of 1,888 shares

Rhea-AI Filing Summary

Capital One Financial (COF) reports a planned disposition of common stock under a Form 144 notice. The filing lists up to 1,888 shares of common stock to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services with an aggregate market value of $425,782.14, proposed for sale on August 17, 2026 on the NYSE. The shares relate to 1,737 performance shares granted on March 10, 2025 and 151 shares from an Employee Stock Purchase Plan dated March 30, 2023.

Key Figures

Shares to be sold: 1,888 shares of common stock Aggregate market value: $425,782.14 Proposed sale date: 08/17/2026 +2 more

5 metrics

Shares to be sold 1,888 shares of common stock Common stock proposed to be sold under the Form 144 notice

Aggregate market value $425,782.14 Aggregate market value of the 1,888 common shares to be sold

Proposed sale date 08/17/2026 Date on which the common shares are proposed to be sold on the NYSE

Performance shares 1,737 shares Performance shares dated 03/10/2025 related to the securities to be sold

Employee Stock Purchase Plan shares 151 shares Shares from an Employee Stock Purchase Plan dated 03/30/2023

Key Terms

Form 144, Performance Shares, Employee Stock Purchase Plan, aggregate market value

4 terms

Form 144 regulatory

"reports a planned disposition of common stock under a Form 144 notice"

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

"Common | 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

"Common | 03/30/2023 | 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.

aggregate market value financial

"with an aggregate market value of $425,782.14"

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.

FAQ

What does Capital One Financial (COF) disclose in this Form 144 filing?

Capital One Financial (COF) discloses a notice of intent to sell 1,888 common shares under Form 144. The shares are associated with performance shares and an Employee Stock Purchase Plan, with a proposed sale on the NYSE.

How many COF shares are covered by the planned sale in this Form 144?

The Form 144 covers a proposed sale of 1,888 shares of COF common stock. These shares are tied to 1,737 performance shares and 151 Employee Stock Purchase Plan shares, reflecting equity previously granted or purchased by the filer.

What is the aggregate market value of the COF shares in this Form 144?

The aggregate market value of the COF common shares covered is $425,782.14. This amount reflects the filer’s stated market value for the 1,888 shares proposed to be sold under this Form 144 notice.

When are the COF shares proposed to be sold according to this Form 144?

The COF common shares are proposed to be sold on August 17, 2026. The filing identifies the NYSE as the intended market for the sale of the 1,888 shares of common stock covered by the notice.

What types of equity awards back the COF shares in this Form 144 filing?

The shares in this Form 144 are backed by performance shares and an Employee Stock Purchase Plan. Specifically, 1,737 shares are from performance shares dated March 10, 2025, and 151 shares come from an ESPP dated March 30, 2023.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Available on EDGAR 08/17/2026 - 04:15 PM Accepted by SEC EDGAR 08/17/2026 - 04:14 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	1888	425782.14	613484836	08/17/2026	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	03/30/2023	Employee Stock Purchase Plan	Issuer			151	03/30/2023	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)