Slocum Michael's Form 4 filing
Capital One Financial Corp (COF) · filed Jul 29, 2021
- Accession no.
- 0000927628-21-000249
- Filed
- Jul 29, 2021
- Trade date
- Jul 27, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.71M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Slocum MichaelCIK 0001528494 | Officer (President, Commercial Banking) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 27, 2021 | Common Stock | MOption exerciseAcquired | +24,404 | $70.96 | +$1,731,707.84 | 81,092 | Direct | |
| Jul 27, 2021 | Common Stock | MOption exerciseAcquired | +29,413 | $74.96 | +$2,204,798.48 | 110,505 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −43,917 | $161.69F1 | −$7,100,939.73 | 66,588 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −9,900 | $162.27F2 | −$1,606,473 | 56,688 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 27, 2021 | Common Stock | MOption exerciseDisposed | −24,404 | $0.00 | $0 | 0 | Direct | |
| Jul 27, 2021 | Common Stock | MOption exerciseDisposed | −29,413 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request.
Referenced by the price of 1 transaction in Table I.