Capital One Financial (COF)

=== SEC Form 4 — Statement of Changes in Beneficial Ownership === Document Type: 4 Period of Report: 2026-02-03 10b5-1 Pre-arranged Plan: Yes --- Issuer --- Name: CAPITAL ONE FINANCIAL CORP (COF) CIK: 0000927628 --- Reporting Owner --- Name: Dean Lia CIK: 0001741273 Role: Officer (Pres, Banking & Prem. Products) --- Non-Derivative Transactions --- [Transaction #1] Security: Common Stock Date: 2026-02-03 | Code: A (Grant or award) Shares: +6,682 | Price: $0.00 Shares Owned After: 73,446 | Ownership: D (Direct) Footnotes: [F1] This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2027 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. [F2] Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. [Transaction #2] Security: Common Stock Date: 2026-02-04 | Code: S (Open market sale) Shares: -3,284 | Price: $223.68 Total Value: $734,565.12 Shares Owned After: 70,162 | Ownership: D (Direct) Footnotes: [F3] This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. --- Footnotes (Complete Index) --- F1: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2027 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. F3: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. --- Signature --- /s/ /s/ Blaise F. Brennan (POA on file) (2026-02-05)