LaPrade,III Frank G.'s Form 4 filing
Capital One Financial Corp (COF) · filed Sep 7, 2021
- Accession no.
- 0000927628-21-000272
- Filed
- Sep 7, 2021
- Trade date
- Sep 2, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $1.88M. It was filed 5 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 |
|---|---|
| LaPrade,III Frank G.CIK 0001497948 | Officer (Chief Enterprise Srvcs Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 2, 2021 | Common Stock | SSaleDisposed | −8,336 | $160.83F2 | −$1,340,678.88 | 47,971 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −1,923 | $162.12F3 | −$311,756.76 | 46,048 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −1,409 | $162.49F4 | −$228,948.41 | 44,639 | 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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.38 to $161.35. 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.39 to $162.38. 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 $162.40 to $162.52. 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.