Capital One Financial SEC Filings

Capital One Financial (COF) reported an insider transaction: the Chairman and CEO filed a Form 4 for activity on 10/27/2025. He exercised 53,486 stock options at $63.73 and sold shares in multiple open‑market transactions at weighted average prices including $224.53, $225.39, $226.43, and $227.42. The sale price ranges disclosed span $223.90 to $227.59 across the noted tranches.

The filing states the transactions were executed under a Rule 10b5‑1 trading plan entered on May 13, 2025. Following these transactions, the reporting person beneficially owns 4,051,228 shares directly. In addition, the derivative table shows 53,487 stock options beneficially owned following the reported transactions, with an option series carrying a $63.73 exercise price and expiring on 02/03/2026.

Capital One Financial (COF) received a Form 144 notice for a proposed sale of 103,486 common shares. The filing lists an aggregate market value of $23,354,894.42, with Morgan Stanley Smith Barney LLC Executive Financial Services named as broker. The approximate sale date is 10/27/2025, and the shares are listed on the NYSE.

The notice shows sources of stock: 53,486 shares tied to a stock option exercise on 10/27/2025 paid in cash, and 50,000 shares from exercised shares on 07/27/2021, also paid in cash. Company common shares outstanding are reported at 639,517,306.

Capital One Financial Corporation furnished a Regulation FD disclosure, providing its Monthly Charge-Off and Delinquency Metrics as of and for the month ended September 30, 2025. The information is contained in Exhibit 99.1 to the current report on Form 8-K.

The filing notes the exhibit includes credit performance metrics for the period referenced. The report was signed by Timothy P. Golden, Chief Accounting Officer.

Capital One Financial Corporation announced two items. First, the company issued a press release with financial results for the quarter ended September 30, 2025, and provided a financial supplement and presentation. The company will host an earnings call on October 21, 2025 at 5:00 PM Eastern Time, with a replay available on its website through November 4, 2025 at 5:00 PM Eastern Time.

Second, the Board authorized the repurchase of up to $16 billion of common stock. This new authorization replaces the prior program approved on April 1, 2022 and is authorized to begin on October 21, 2025. Repurchases may occur via open market or privately negotiated transactions, including Rule 10b5-1 plans, and may be modified, suspended, or terminated at any time. The timing and amount of repurchases will depend on market conditions, growth opportunities, the company’s capital position and retained earnings, and regulatory considerations.

Matthew W. Cooper, identified as General Counsel & Corporate Secretary of Capital One Financial Corp (COF), reported a sale of 2,000 shares of the issuer's common stock on 10/02/2025 at a reported price of $211.99 per share. After the sale, the reporting person beneficially owned 98,486 shares.

The filing states the transaction was executed under a trading plan established on January 23, 2025 pursuant to Rule 10b5-1, and the Form 4 was signed by a power of attorney on 10/03/2025. No derivative transactions or other classes of securities are disclosed on this form.

Capital One Financial Corp (COF) Form 144 discloses a proposed sale of 2,000 common shares by an insider through Morgan Stanley Smith Barney LLC on or about 10/02/2025. The shares were acquired as performance shares on 02/15/2022 from the issuer. The notice shows 2,000 shares outstanding to be sold, an aggregate market value listed as $423,980.00, and total common shares outstanding of 639,517,306. The filing also reports a prior sale of 2,000 common shares on 09/02/2025 with gross proceeds of $446,800.00. The filer certifies they are not aware of undisclosed material adverse information and the transaction will be executed on the New York Stock Exchange.

Capital One Financial Corporation is offering fixed-to-floating rate senior notes maturing in 2031 and 2036. The notes bear a fixed rate from issuance until an interest reset date, then convert to a floating rate equal to a defined base rate plus a stated spread. The 2036 notes have an interest reset date in 2035 and a maturity in 2036; the issuer may redeem the 2036 notes in 2035 at 100% of principal plus accrued interest. Interest payments begin in 2026. The prospectus references SOFR and related benchmark transition provisions and warns that SOFR movements will affect returns. The supplement discloses U.S. federal tax and withholding rules for non-U.S. holders and notes Capital Ones principal operating subsidiary as Capital One, National Association as of June 30, 2025. Many numeric details (rates, spreads, aggregate principal amounts, exact dates and underwriting economics) are redacted in the provided text.