Capital One counsel sells 3,500 shares in plan trade

CAPITAL ONE FINANCIAL CORP reported an insider stock sale by its General Counsel and Corporate Secretary, Matthew W. Cooper.

Rhea-AI Filing Summary

CAPITAL ONE FINANCIAL CORP reported an insider stock sale by its General Counsel and Corporate Secretary, Matthew W. Cooper. He sold 3,500 shares of common stock in an open-market transaction at a price of $183.36 per share and now directly holds 93,694 shares. The sale was executed under a pre-arranged trading plan that Cooper entered into on January 26, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act.

Insider Trade Summary 10b5-1

Net Seller: 3,500 shares

Net Sell 1 txn

Insider Cooper Matthew W

Role General Counsel & Corp Secy

Sold 3,500 shs ($642K)

Type	Security	Shares	Price	Value
Sale	Common Stock	3,500	$183.36	$642K

Holdings After Transaction: Common Stock — 93,694 shares (Direct)

Footnotes (1)

1. F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2026 , in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Key Figures

Shares sold: 3,500 shares Sale price: $183.36 per share Post-transaction holdings: 93,694 shares +1 more

4 metrics

Shares sold 3,500 shares Open-market sale of common stock on 2026-06-02

Sale price $183.36 per share Price for the 3,500-share open-market sale

Post-transaction holdings 93,694 shares Direct ownership after the sale

Net shares sold 3,500 shares Net sell direction in this Form 4

Key Terms

Rule 10b5-1, open-market sale, trading plan

3 terms

Rule 10b5-1 regulatory

"in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934"

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.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

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.

FAQ

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

What insider transaction did Capital One (COF) disclose for Matthew W. Cooper?

Capital One disclosed that General Counsel Matthew W. Cooper sold 3,500 shares of common stock. The sale was an open-market transaction executed under a pre-arranged Rule 10b5-1 trading plan, which structures sales in advance to avoid discretionary timing decisions.

At what price did Matthew W. Cooper sell Capital One (COF) shares?

Matthew W. Cooper sold 3,500 Capital One common shares at $183.36 per share. This price reflects the transaction value for this specific open-market sale reported in the Form 4 and does not provide broader pricing or valuation information for other trades.

How many Capital One (COF) shares does Matthew W. Cooper hold after this sale?

After the reported sale, Matthew W. Cooper directly holds 93,694 shares of Capital One common stock. This post-transaction holding is disclosed in the Form 4 and provides context for the scale of the 3,500-share open-market sale.

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

Yes. The filing states the transaction was executed under a trading plan entered into on January 26, 2026, in accordance with Rule 10b5-1. Such plans allow insiders to schedule trades in advance, reducing discretion over trade timing.

What type of transaction was reported in the Capital One (COF) Form 4?

The Form 4 reports an open-market sale of common stock by Matthew W. Cooper, coded as a sale transaction. It involved 3,500 shares and was carried out pursuant to a pre-arranged Rule 10b5-1 trading plan noted in the footnotes.

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

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Accepted by SEC EDGAR 06/03/2026 - 04:11 PM EDT 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^*

Cooper Matthew W

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel & Corp Secy

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/02/2026(1)		S		3,500	D	$183.36	93,694	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 January 26, 2026 , in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Remarks:

	/s/ Katherine DeLuca (POA on file)	06/02/2026
	** 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.
* Form 4: SEC 1474 (03-26)