Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Jul 29, 2021
- Accession no.
- 0000927628-21-000250
- 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 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $35.4M. 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 |
|---|---|
| Fairbank Richard DCIK 0001238032 | Director, Officer (Chairman, CEO and President) |
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 | +359,909 | $45.75 | +$16,465,836.75 | 3,977,787 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −17,158 | $160.00F3 | −$2,745,280 | 3,960,629 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −39,121 | $160.94F4 | −$6,296,133.74 | 3,921,508 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −115,385 | $161.92F5 | −$18,683,139.2 | 3,806,123 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −44,225 | $162.89F6 | −$7,203,810.25 | 3,761,898 | Direct | |
| Jul 27, 2021 | Common Stock | SSaleDisposed | −3,100 | $163.48F7 | −$506,788 | 3,758,798 | 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 | −359,909 | $0.00 | $0 | 100 | 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.39 to $160.37. 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.40 to $161.39. 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.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.40 to $162.39. 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.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.40 to $163.39. 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.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.40 to $163.66. 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.