Notice of Proposed Sale · 144
CAPITAL ONE FINANCIAL CORPORATION
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- CAPITAL ONE FINANCIAL CORPORATION
- Issuer CIK
- 0000927628
- SEC file number
- 001-13300
- Phone
- (703) 720-1000
- Person for whose account securities are to be sold
- TIMOTHY GOLDEN
- Relationships to issuer
- Officer
- Street
- 1680 CAPITAL ONE DRIVE
- City
- MCLEAN
- State / country code
- VA
- Postal code
- 22102
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 3,487 | 735,757.00 | 613,484,836 | 07/29/2026 | NYSE | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 05/31/2025 | Employee Stock Purchase Plan | Issuer | 205 | N | 05/31/2025 | Cash |
| Common | 02/15/2026 | Performance Shares | Issuer | 3,282 | N | 02/15/2026 | Not Applicable |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Remarks
The securities to be sold were acquired upon the purchase of Employee Stock Purchase Plan shares during the period of 05/31/2025 through 06/30/2026.
Notice signature
- Notice date
- 07/29/2026
- Signed
- /s/ Timothy P Golden
Company context
Capital One Financial Corporation (NYSE: COF) is a leading technology-based financial services company with $484.3 billion in deposits and $673.8 billion in total assets as of June 30, 2026. Headquartered in McLean, Virginia, the company operates as a premier global payments provider and diversified financial institution, delivering a broad suite of products and consumer lifestyle and shopping experiences through its Credit Card, Consumer Banking including its Global Payment Network, and Commercial Banking lines of business. As the only major U.S. bank to migrate entirely to the public cloud, Capital One leverages proprietary data and advanced analytics to democratize financial tools across its primary markets in the United States, Canada, and the United Kingdom.