[144] Capital One Financial SEC Filing

Rhea-AI Filing Summary

This Form 144 notice reports a proposed sale of 2,000 common shares of the issuer through Morgan Stanley Smith Barney LLC on 09/02/2025. The filing lists an aggregate market value of $446,800.00 and states total shares outstanding of 639,517,306. The shares were acquired on 02/15/2022 as performance shares from the issuer, with payment recorded on the same date. The filer affirms they do not possess undisclosed material adverse information and follows Rule 144 disclosure requirements.

Positive

• Full Rule 144 disclosure provided including class, broker, quantity, aggregate value, and outstanding shares
• Broker identified as Morgan Stanley Smith Barney LLC for execution of the sale
• Acquisition details disclosed: shares acquired as performance shares from the issuer on 02/15/2022
• Seller representation included stating no known undisclosed material adverse information

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 filing disclosing a small proposed sale of 2,000 common shares through a named broker.

The notice provides the core elements required under Rule 144: class of security, broker, number of shares, aggregate market value, shares outstanding, planned sale date, and acquisition details. The shares were granted as performance shares by the issuer on 02/15/2022. The filing includes the standard certification that no material nonpublic information is known to the seller. This is a compliance-focused disclosure rather than a material corporate event.

Corporate Governance Expert

TL;DR: Disclosure aligns with insider transaction transparency; contains required seller representation and broker information.

The form names the executing broker and documents the origin of the shares as issuer-granted performance shares. It includes the seller's attestation regarding material information and references Rule 10b5-1 plan language if applicable. From a governance perspective, the filing meets routine transparency and recordkeeping expectations for officer/director or affiliate sales under Rule 144.

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	2000	446800.00	639517306	09/02/2025	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	02/15/2022	Performance Shares	ISSUER			2000	02/15/2022	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

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 the COF Form 144 report?

The Form 144 reports a proposed sale of 2,000 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $446,800.00.

When is the approximate sale date listed on the filing for COF?

The approximate date of sale listed is 09/02/2025.

How and when were the shares to be sold acquired according to the filing?

The shares were acquired on 02/15/2022 as performance shares from the issuer, with payment dated 02/15/2022.

Who is the broker named in the COF Form 144?

The broker named is Morgan Stanley Smith Barney LLC, 1 New York Plaza, 8th Floor, New York, NY 10004.

What does the filer certify about material nonpublic information?

The filer represents by signing that they do not know any material adverse information regarding the issuer that has not been publicly disclosed.