Capital One CEO exercises 40,743 options, sells shares
The three sale entries report weighted-average prices and were made under a Rule 10b5-1 plan entered into May 13, 2025.
Sentiment and the balance of points
Rhea-AI Sentiment reads the wording of the document, how positive or negative its language is on a 1 to 5 scale. The balance of points shown with the takes weighs what the document actually discloses, so the two can disagree, for example when a trial that missed its main goal is described in upbeat language.
Form Type
4
Rhea-AI Filing Summary
Capital One Financial Corp. Chairman and CEO Richard D. Fairbank exercised 40,743 stock options on October 27, 2026, at an exercise price of $86.34 per share. His reported post-transaction position was 40,743 stock options. That day, he sold 46,845 shares at a weighted-average price of $202.32 per share, 37,025 at $203.29 per share, and 6,873 at $204.19 per share. The sales were made under a Rule 10b5-1 trading plan entered into May 13, 2025.
Insider Trade Summary 10b5-1
Exercise and sale activity reported; no spread calculated
Exercise and Sale
5 txns
Insider
FAIRBANK RICHARD D
Role
Chairman and CEO
Sold
90,743 shs ($18.41M)
Approx. gross sale proceeds
$18.41M
Approx. exercise cost
$3.52M
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Stock Options | 40,743 | $0.00 | $0.00 |
| Exercise | Common Stock F1, F2 | 40,743 | $86.34 | $3.52M |
| Sale | Common Stock F1, F3 | 46,845 | $202.32 | $9.48M |
| Sale | Common Stock F1, F4 | 37,025 | $203.29 | $7.53M |
| Sale | Common Stock F1, F5 | 6,873 | $204.19 | $1.40M |
Holdings After Transaction:
Stock Options — 40,743 contracts (Direct);
Common Stock — 4,018,520 shares (Direct)
Footnotes (5)
- F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2. Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
- F3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $201.78 to $202.77. Information regarding the number of shares sold at each price will be provided upon request.
- F4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.79 to $203.78. Information regarding the number of shares sold at each price will be provided upon request.
- F5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.81 to $204.49. Information regarding the number of shares sold at each price will be provided upon request.
Key Figures
Options exercised: 40,743 options
Exercise price: $86.34 per share
Post-transaction option position: 40,743 stock options
+3 more
6 metrics
Options exercised
40,743 options
October 27, 2026
Exercise price
$86.34 per share
Options exercised October 27, 2026
Post-transaction option position
40,743 stock options
Reported after the October 27, 2026 transaction
First sale
46,845 shares at weighted-average $202.32 per share
October 27, 2026; sale prices ranged from $201.78 to $202.77 per share
Second sale
37,025 shares at weighted-average $203.29 per share
October 27, 2026; sale prices ranged from $202.79 to $203.78 per share
Third sale
6,873 shares at weighted-average $204.19 per share
October 27, 2026; sale prices ranged from $203.81 to $204.49 per share
Key Terms
Rule 10b5-1, Dividend Reinvestment Plan, weighted average price, exercise price
4 terms
Rule 10b5-1 regulatory
"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.
Dividend Reinvestment Plan financial
"Company's Dividend Reinvestment Plan since the last reported transaction"
A dividend reinvestment plan lets shareholders automatically use cash dividends to buy more shares of the same company instead of receiving the money. It matters to investors because it turns regular payouts into a steady way to grow ownership and take advantage of compound returns—like having your savings automatically buy additional slices of a pie over time—while often reducing transaction costs and smoothing purchase timing.
weighted average price financial
"The price reported in Column 4 is a weighted average price"
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
exercise price financial
"conversion_or_exercise_price"
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What COF stock options did Richard D. Fairbank exercise?
Richard D. Fairbank exercised 40,743 stock options on October 27, 2026, at an exercise price of $86.34 per share. His reported post-transaction position was 40,743 stock options, with an expiration date of February 2, 2027.
What did Richard D. Fairbank's COF common-stock acquisition entry include?
The entry lists 40,743 shares and includes shares acquired through Capital One's Dividend Reinvestment Plan since the last reported transaction.
AI-generated analysis. How Rhea-AI works. Not financial advice.
