Capital One counsel sells $749K in stock

CAPITAL ONE FINANCIAL CORP (COF) reported that Matthew W. Cooper, General Counsel & Corporate Secretary, sold 3,500 shares of common stock on September 1, 2026 at an average price of $214.10 per share under a Rule 10b5-1 trading plan.

Rhea-AI Filing Summary

CAPITAL ONE FINANCIAL CORP (COF) reported that Matthew W. Cooper, General Counsel & Corporate Secretary, sold 3,500 shares of common stock on September 1, 2026 at an average price of $214.10 per share under a Rule 10b5-1 trading plan. Following this planned sale, he directly holds 83,194 shares of Capital One common stock.

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 ($749K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	3,500	$214.10	$749K

Holdings After Transaction: Common Stock — 83,194 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 per share: $214.10 per share Transaction value: $749,350 +2 more

5 metrics

Shares sold 3,500 shares Common stock sale reported for September 1, 2026

Sale price per share $214.10 per share Average price for the 3,500 COF shares sold

Transaction value $749,350 3,500 shares sold at $214.10 per share

Shares owned after transaction 83,194 shares Direct holdings of Matthew W. Cooper after the sale

Rule 10b5-1 plan adoption date January 26, 2026 Date Cooper entered into the trading plan governing this sale

Key Terms

Rule 10b5-1, trading plan, Form 4

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

"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.

Form 4 regulatory

"reported in a Form 4 insider transaction filing"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

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

What insider transaction did COF disclose for Matthew W. Cooper?

Capital One disclosed that Matthew W. Cooper sold 3,500 shares of common stock on September 1, 2026 at an average price of $214.10 per share, in a transaction reported on Form 4.

Was the September 1, 2026 COF share sale under a Rule 10b5-1 plan?

Yes. The filing states the sale was executed under a Rule 10b5-1 trading plan that Matthew W. Cooper entered into on January 26, 2026.

How many COF shares does Matthew W. Cooper own after this transaction?

After the reported sale, Matthew W. Cooper directly owns 83,194 shares of Capital One Financial Corp common stock.

What was the total value of Matthew W. Cooper’s COF stock sale?

Based on 3,500 shares sold at an average price of $214.10 per share, the transaction value was approximately $749,350.

What is Matthew W. Cooper’s role at Capital One Financial Corp (COF)?

Matthew W. Cooper is identified in the filing as General Counsel & Corporate Secretary of Capital One Financial Corp.

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

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Available on EDGAR 09/02/2026 - 04:23 PM EDT Accepted by SEC EDGAR 09/02/2026 - 04:23 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)
09/01/2026

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	09/01/2026		S(1)		3,500	D	$214.1	83,194	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)	09/02/2026
	** 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)