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  4. [Form 4] CAPITAL ONE FINANCIAL CORP Insider Trading Activity

Capital One Financial (COF) officer sells 50 shares in Rule 10b5-1 trade

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

CAPITAL ONE FINANCIAL CORP executive Raghu Ravi, President of Software, International & Small Business, reported a sale of 50 shares of common stock on 2026-08-07 at $218.49 per share. After this transaction, he directly holds 26,278 shares. The sale was executed pursuant to a Rule 10b5-1 trading plan entered into on April 23, 2026.

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Insider Raghu Ravi
Role Pres, Software, Intl & Sm Bus
Sold 50 shs ($11K)
Type Security Shares Price Value
Sale Common Stock F1 50 $218.49 $11K
Holdings After Transaction: Common Stock — 26,278 shares (Direct)
Footnotes (1)
  1. F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on April 23, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
Shares sold 50 shares Common stock sale on 2026-08-07
Sale price per share $218.49 Open-market or private transaction on 2026-08-07
Shares held after transaction 26,278 shares Direct ownership following the August 7, 2026 sale
Net shares sold in filing 50 shares Net-sell direction across all reported transactions
Rule 10b5-1 regulatory
"executed pursuant to a trading plan entered into ... in accordance with 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.
trading plan financial
"This transaction was executed pursuant to a trading plan entered into by the reporting person"
A trading plan is a written set of rules an investor follows about what to buy or sell, when to enter and exit positions, and how much risk to accept—like a travel itinerary that maps the route, stops, and budget before a trip. It matters because it helps remove emotional decisions during market swings, enforces discipline, and makes performance easier to review and improve, reducing the chance of costly impulsive moves.
Securities Exchange Act of 1934 regulatory
"in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended"

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

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FAQ

What insider transaction did CAPITAL ONE FINANCIAL CORP (COF) report for Raghu Ravi?
CAPITAL ONE FINANCIAL CORP reported that executive Raghu Ravi sold 50 shares of common stock on 2026-08-07 at $218.49 per share. This was a small open-market sale under a pre-established trading plan.

How many CAPITAL ONE FINANCIAL CORP (COF) shares does Raghu Ravi hold after this sale?
After the reported sale, Raghu Ravi directly holds 26,278 shares of CAPITAL ONE FINANCIAL CORP common stock. This figure reflects his position immediately following the 50-share sale disclosed in the Form 4 filing.

What price did Raghu Ravi receive for his COF shares in the August 7, 2026 sale?
The reported sale of CAPITAL ONE FINANCIAL CORP common stock by Raghu Ravi on 2026-08-07 was executed at a price of $218.49 per share. The transaction involved 50 shares in total.

Was Raghu Ravi’s COF stock sale made under a Rule 10b5-1 trading plan?
Yes. The Form 4 states the transaction was executed under a Rule 10b5-1 trading plan that Raghu Ravi entered into on April 23, 2026, providing for pre-arranged trading parameters.

What role does Raghu Ravi hold at CAPITAL ONE FINANCIAL CORP (COF)?
Raghu Ravi is identified as an officer of CAPITAL ONE FINANCIAL CORP with the title “Pres, Software, Intl & Sm Bus”. His Form 4 filing reflects a personal open-market sale of common stock.
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Raghu Ravi
(Last)(First)(Middle)
1680 CAPITAL ONE DRIVE
(Street)
MCLEAN VIRGINIA 22102
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [ COF ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Pres, Software, Intl & Sm Bus
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/07/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock08/07/2026S(1)50D$218.4926,278D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. This transaction was executed pursuant to a trading plan entered into by the reporting person on April 23, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
Remarks:
/s/ Katherine DeLuca (POA on file)08/10/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR