144 0001938284 XXXXXXXX LIVE 0000927628 CAPITAL ONE FINANCIAL CORP 001-13300 1680 CAPITAL ONE DRIVE SUITE 1400 MCLEAN VA 22102 7037201000 West Kara Officer COMMON MORGAN STANLEY SMITH BARNEY LLC EXECUTIVE SERVICES

200 W CIVIC CENTER DR. 4TH FLOOR SANDY UT 84070

721 133005.10 381500000 11/07/2024 NYSE COMMON 02/15/2021 RESTRICTED STOCK ISSUER N 321 02/15/2021 COMPENSATION COMMON 01/01/2020 ESPP ISSUER N 53 01/01/2020 COMPENSATION COMMON 01/01/2021 ESPP ISSUER N 81 01/01/2021 COMPENSATION COMMON 01/01/2022 ESPP ISSUER N 94 01/01/2022 COMPENSATION COMMON 01/01/2023 ESPP ISSUER N 102 01/01/2022 COMPENSATION COMMON 01/01/2024 ESPP ISSUER N 70 01/01/2024 COMPENSATION Y TABLE 1 BREAKDOWN 5/21/2020 2.562 1/31/2021 7.297 10/31/2021 7.732 9/30/2022 13.821 11/30/2023 11.804 7/31/2020 17.887 2/28/2021 6.551 11/30/2021 8.309 11/30/2022 12.339 12/31/2023 15.078 8/20/2020 0.675 3/31/2021 6.397 12/31/2021 12.072 12/31/2022 20.555 2/29/2024 9.739 8/31/2020 11.021 4/30/2021 5.459 1/31/2022 7.958 1/31/2023 10.705 3/31/2024 9.149 9/30/2020 10.587 6/30/2021 5.261 2/28/2022 7.838 3/31/2023 13.596 4/30/2024 9.498 10/31/2020 10.41 7/31/2021 7.55 3/31/2022 9.406 4/30/2023 13.437 5/31/2024 14.847 8/31/2021 7.036 4/30/2022 9.909 5/31/2023 12.546 8/31/2024 9.271 9/30/2021 7.209 6/30/2022 11.853 7/31/2023 11.172 9/30/2024 9.098 9/30/2023 13.521 10/31/2024 8.368 11/07/2024 /s/ Kara Thompson West