Capital One Financial Corp (NYSE: COF) counsel sells 3,500 shares in planned trade

Rhea-AI Filing Summary

Capital One Financial Corp executive Matthew W. Cooper, General Counsel & Corporate Secretary, reported selling 3,500 shares of common stock on August 4, 2026 at $219.33 per share in an open-market or private transaction. Following the sale, he directly holds 86,694 shares. The trade was executed under a Rule 10b5-1 trading plan entered into on January 26, 2026.

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 ($768K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	3,500	$219.33	$768K

Holdings After Transaction: Common Stock — 86,694 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: $219.33 per share Shares owned after: 86,694 shares +1 more

4 metrics

Shares sold 3,500 shares Non-derivative sale of common stock on August 4, 2026

Sale price $219.33 per share Reported transaction price for the 3,500-share sale

Shares owned after 86,694 shares Total common shares directly held following the transaction

Net shares sold 3,500 shares Net sell direction in transaction summary (net-sell)

Key Terms

Rule 10b5-1, trading plan, Sale in open market or private transaction

3 terms

Rule 10b5-1 regulatory

"entered into by the reporting person on January 26, 2026, 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.

Sale in open market or private transaction financial

"transaction_code_description: Sale in open market or private transaction"

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/05/2026 - 04:05 PM Accepted by SEC EDGAR 08/05/2026 - 04:04 PM Learn about SEC filing dates

FAQ

What transaction did Matthew W. Cooper report in COF's latest Form 4?

Matthew W. Cooper reported a sale of 3,500 shares of Capital One Financial Corp common stock at $219.33 per share. After this transaction, he directly owns 86,694 shares, as disclosed in the Form 4 insider filing.

Was the COF Form 4 sale by Matthew W. Cooper under a Rule 10b5-1 plan?

Yes. The Form 4 states the sale was executed under a Rule 10b5-1 trading plan entered into on January 26, 2026. Such pre-arranged plans allow insiders to systematically trade shares according to preset instructions.

How many COF shares does Matthew W. Cooper hold after this Form 4 transaction?

After the reported sale, Matthew W. Cooper directly holds 86,694 shares of Capital One Financial Corp common stock. This post-transaction ownership figure is explicitly listed in the Form 4 as total shares following the transaction.

What price did the insider receive per share in the COF Form 4 sale?

The reported sale was executed at a price of $219.33 per share for 3,500 shares of Capital One Financial Corp common stock. The Form 4 identifies this as the per-share transaction price for the non-derivative sale.

What role does the reporting person hold at Capital One Financial Corp (COF)?

The reporting person, Matthew W. Cooper, serves as Capital One Financial Corp’s General Counsel & Corporate Secretary. His officer status and title are specified in the Form 4’s reporting person information section.

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)
08/04/2026

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(1)	08/04/2026		S		3,500	D	$219.33	86,694	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)	08/05/2026
	** 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)