COF

SEC source: 0000927628-21-000039 · wf-form4_161282206368888.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,777

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

SEC source: 0000927628-21-000040 · wf-form4_161282208810102.xml · nonDerivative · entry 1

Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,532

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000041 · wf-form4_161282211654855.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,113

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

SEC source: 0000927628-21-000042 · wf-form4_161282214255668.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,986

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: The number of shares reported as direct holdings reflects the correction of a past understatement of 22 shares arising from an administrative reporting error.

F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000043 · wf-form4_161282217785594.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,483

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000044 · wf-form4_161282219753237.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,788

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: On August 12, 2020, the reporting person contributed 45,527 shares of Capital One common stock previously owned directly to a grantor retained annuity trust.

SEC source: 0000927628-21-000045 · wf-form4_161282221563001.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,402

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000046 · wf-form4_161282223370766.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,745

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 14

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,534

Underlying: Common Stock · 15,534 shares

Expires 2024-02-15

F10 · security: Represents restricted stock units granted on February 4, 2021 for performance year 2021.

F9 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 13

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,753

Underlying: Common Stock · 17,753 shares

Expires 2024-02-15

F8 · security: Represents restricted stock units granted on February 4, 2021 for performance year 2020.

F9 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 12

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,943

Underlying: Common Stock · 186 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Represents restricted stock units granted on January 30, 2020 for performance year 2020.

F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 11

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,363

Underlying: Common Stock · 213 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Represents restricted stock units granted on January 30, 2020 for performance year 2019.

F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 10

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,094

Underlying: Common Stock · 323 shares

Expires 2022-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Represents restricted stock units granted on January 31, 2019 for performance year 2019.

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · derivative · entry 9

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,891

Underlying: Common Stock · 377 shares

Expires 2022-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: Represents restricted stock units granted on January 31, 2019 for performance year 2018.

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 8

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,087

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 7

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,273

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 6

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,486

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 5

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,809

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 4

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,623,186

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,623,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 2

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,787

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

SEC source: 0000927628-21-000047 · wf-form4_161282225491720.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,464

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on February 4, 2021, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

SEC source: 0000927628-21-000048 · wf-form4_161282227969455.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,801

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

SEC source: 0000927628-21-000049 · wf-form4_161282232561908.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 4,788

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F3 · balance_after: Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000049 · wf-form4_161282232561908.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,038

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000050 · wf-form4_161282235050937.xml · nonDerivative · entry 1

Young Andrew M · CIK 0001839737 · Head of Fin. Plng. & Analysis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,747

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated January 11, 2021.

SEC source: 0000927628-21-000051 · wf-form4_161282238157810.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,149

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

SEC source: 0000927628-21-000052 · wf-form4_161282240672466.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,708

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000062 · wf-form4a_161351747066901.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,184

F1 · security: These restricted stock unit awards will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · shares: One of the restricted stock unit awards representing 4,439 shares of Company common stock was not previously reported due to an administrative reporting error.

F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

SEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,645 shares

Expires 2023-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

SEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,745

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,390

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,745

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-21-000002 · wf-form4_160979516676635.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,512

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000326 · wf-form4_160867140759986.xml · derivative · entry 4

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,603 shares

Expires 2023-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

SEC source: 0000927628-20-000326 · wf-form4_160867140759986.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,507

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000326 · wf-form4_160867140759986.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,110

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000325 · wf-form4_160867124151185.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,183

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000321 · wf-form4_160815296226006.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,368

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000322 · wf-form4_160815297861123.xml · nonDerivative · entry 3

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,507

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.69 to $93.46. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000322 · wf-form4_160815297861123.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,399

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.60 to $92.57. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000322 · wf-form4_160815297861123.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,547

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.58 to $91.54. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · derivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,983 shares

Expires 2026-02-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,499 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,301

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.43 to $95.13. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,574

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.35 to $94.30. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,170

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.34 to $93.33. Information regarding the number of shares sold at each price will be provided upon request.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,230

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,247

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0000927628-20-000314 · wf-form4_160763571192404.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, U.S. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,189

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: On November 12, 2020, the reporting person contributed 17,743 shares of Capital One common stock previously owned directly to a grantor retained annuity trust.