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Capital One (COF) Chief Enterprise Services Officer reports stock sale

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Capital One Financial (COF) reported insider share sales by its Chief Enterprise Services Officer. On 11/13/2025, the officer sold 4,276 shares of common stock at a weighted average price of $220.84 and 13,564 shares at a weighted average price of $222.41. These transactions were executed under a Rule 10b5-1 trading plan entered into on August 14, 2025. After these sales, the officer directly owned 48,315 shares of Capital One common stock and held the equivalent of 818 additional shares through the company’s 401(k) plan.

Positive

  • None.

Negative

  • None.
Insider LaPrade,III Frank G.
Role Chief Enterprise Srvcs Officer
Sold 17,840 shs ($3.96M)
Type Security Shares Price Value
Sale Common Stock 4,276 $220.84 $944K
Sale Common Stock 13,564 $222.41 $3.02M
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 61,879 shares (Direct); Common Stock — 818 shares (Indirect, By 401(k))
Footnotes (1)
  1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.61 to $221.57. Information regarding the number of shares sold at each price will be provided upon request. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $221.95 to $222.94. Information regarding the number of shares sold at each price will be provided upon request. Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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*
LaPrade,III Frank G.
(Last) (First) (Middle)
1680 CAPITAL ONE DRIVE
(Street)
MCLEAN VA 22102
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [ COF ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Enterprise Srvcs Officer
3. Date of Earliest Transaction (Month/Day/Year)
11/13/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock(1) 11/13/2025 S 4,276 D $220.84(2) 61,879 D
Common Stock(1) 11/13/2025 S 13,564 D $222.41(3) 48,315 D
Common Stock(4) 818 I By 401(k)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.61 to $221.57. Information regarding the number of shares sold at each price will be provided upon request.
3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $221.95 to $222.94. Information regarding the number of shares sold at each price will be provided upon request.
4. Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
Remarks:
/s/ Katherine DeLuca (POA on file) 11/17/2025
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Capital One (COF) disclose in this Form 4?

The filing shows that Capital One’s Chief Enterprise Services Officer sold shares of Capital One Financial Corp (COF) common stock in two separate transactions on 11/13/2025.

How many Capital One (COF) shares were sold and at what prices?

The officer sold 4,276 shares at a weighted average price of $220.84 and 13,564 shares at a weighted average price of $222.41 on 11/13/2025.

How many Capital One (COF) shares does the insider still own after the transactions?

Following the reported sales, the officer directly owned 48,315 shares of Capital One common stock and held the equivalent of 818 shares through the company’s 401(k) plan.

Was the Capital One (COF) insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states that the transactions were executed under a Rule 10b5-1 trading plan entered into on August 14, 2025, which is designed to allow pre-arranged trades.

What is the role of the reporting person at Capital One (COF)?

The reporting person is an officer of Capital One Financial Corp, serving as the Chief Enterprise Services Officer.

Does this Form 4 include any derivative securities for Capital One (COF)?

The derivative securities table is present but does not report any specific derivative transactions or holdings in this excerpt.