Capital One executive sells shares under Rule 10b5-1 plan

Capital One Financial Corp insider share sale disclosed.

Rhea-AI Filing Summary

Capital One Financial Corp insider share sale disclosed. A company officer, listed as President, Software, International & Small Business, sold 13,450 shares of Capital One common stock on 01/05/2026 at a price of $250 per share. After this transaction, the officer beneficially owned 30,337 shares directly.

The sale was executed under a pre-arranged Rule 10b5-1 trading plan that the reporting person entered into on February 13, 2025. Such plans are designed to allow insiders to sell shares according to a preset schedule, helping separate personal trading decisions from day-to-day corporate developments.

Insider Trade Summary

Net Seller: 13,450 shares

Net Sell 1 txn

Insider Raghu Ravi

Role Pres, Software, Intl & Sm Bus

Sold 13,450 shs ($3.36M)

Type	Security	Shares	Price	Value
Sale	Common Stock	13,450	$250.00	$3.36M

Holdings After Transaction: Common Stock — 30,337 shares (Direct)

Footnotes (1)

1. F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

FAQ

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

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

An officer of Capital One Financial Corp reported selling 13,450 shares of common stock on 01/05/2026 at $250 per share.

How many Capital One (COF) shares does the insider own after this sale?

Following the reported transaction, the officer beneficially owned 30,337 shares of Capital One common stock in direct ownership.

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

Yes. The filing states the sale was executed under a Rule 10b5-1 trading plan entered into on February 13, 2025.

What is the insider’s role at Capital One (COF)?

The reporting person is identified as an officer of Capital One, with the title President, Software, International & Small Business.

Is this Capital One (COF) Form 4 filed by a single reporting person?

Yes. The document indicates that the Form 4 is filed by one reporting person, not a group.

What type of security did the Capital One (COF) insider sell?

The transaction involved Capital One common stock listed in Table I - Non-Derivative Securities of the filing.

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

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Accepted by SEC EDGAR 01/06/2026 - 04:58 PM Learn about SEC filing dates

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^*

Raghu Ravi

(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)
	Pres, Software, Intl & Sm Bus

3. Date of Earliest Transaction (Month/Day/Year)
01/05/2026

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)	01/05/2026		S		13,450	D	$250	30,337	D

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 February 13, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Remarks:

	/s/ Blaise F. Brennan (POA on file)	01/06/2026
	** 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.