Item 5. Other Information

Rule 10b5-1 and Non-Rule 10b5-1 Trading Arrangements

During the three months ended September 30, 2023, certain of our officers and directors adopted or terminated Rule 10b5-1 trading arrangements as follows:

Frank G. LaPrade, our Chief Enterprise Services Officer and Chief of Staff to the CEO, entered into a pre-arranged stock trading plan on July 28, 2023. Mr. LaPrade’s plan provides for the potential exercise of vested stock options and the associated sale of up to 70,975 shares of Capital One common stock in amounts and prices determined in accordance with a formula set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and April 29, 2024.

Ann Fritz Hackett, our lead independent director, entered into a pre-arranged stock trading plan on August 8, 2023. Ms. Hackett’s plan provides for the associated sale of up to 15,000 shares of Capital One common stock in amounts and prices determined in accordance with a formula set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and December 31, 2024.

Lance Hackett, spouse of Ann Fritz Hackett, our lead independent director, entered into a pre-arranged stock trading plan on August 8, 2023. Mr. Hackett’s plan provides for the associated sale of up to 5,005 shares of Capital One common stock in

amounts and prices determined in accordance with a formula set forth in the plan and terminates on the earlier of the date all shares under the plan are sold and December 31, 2024.

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 Securities Exchange Act of 1934, as amended, and Capital One’s policies regarding transactions in its securities.