CAPITAL ONE FINANCIAL CORP
For the period ended Sep 30, 2025. Filed Nov 3, 2025.
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Sep 30, 2025 · Filed Nov 3, 2025
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Item 5. Other Information
Rule 10b5-1 and Non-Rule 10b5-1 Trading Arrangements
During the three months ended September 30, 2025, certain of our directors and officers adopted orterminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K as follows:
Neal A. Blinde, our President, Commercial Banking, entered into a pre-arranged stock trading plan on July 25, 2025. Mr. Blinde’s plan provides for the associated sale of up to 43,200 shares of Capital One common stock in amounts and prices set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and May 6, 2026.
Frank G. LaPrade, III, our Chief Enterprise Services Officer and Chief of Staff to the CEO, entered into a pre-arranged stock trading plan on August 14, 2025. Mr. LaPrade’s plan provides for the associated sale of up to 30,978 shares of Capital One common stock in amounts and prices set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and July 31, 2026.
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Lia N. Dean, our President, Banking and Premium Products, entered into a pre-arranged stock trading plan on August 14, 2025. Ms. Dean’s plan provides for the associated sale of up to 14,692 shares of Capital One common stock in amounts and prices set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and June 1, 2026.
Celia S. Karam, our President, Retail Bank, entered into a pre-arranged stock trading plan on August 14, 2025. Ms. Karam’s plan provides for the associated sale of up to 11,592 shares of Capital One common stock in amounts and prices set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and June 1, 2026.
Each of the trading plans was entered into during an open insider trading window and is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act and Capital One’s policies regarding transactions in its securities.
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