Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Aug 2, 2022
- Accession no.
- 0000927628-22-000255
- Filed
- Aug 2, 2022
- Trade date
- Jul 29-Aug 1, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.71M. It was filed 4 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 and CEO) |
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 29, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,771,401 | Direct | |
| Jul 29, 2022 | Common Stock | SSaleDisposed | −3,756 | $108.00F2 | −$405,648 | 3,767,645 | Direct | |
| Jul 29, 2022 | Common Stock | SSaleDisposed | −8,782 | $108.80F3 | −$955,481.6 | 3,758,863 | Direct | |
| Aug 1, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,771,401 | Direct | |
| Aug 1, 2022 | Common Stock | SSaleDisposed | −6,283 | $106.54F4 | −$669,390.82 | 3,765,118 | Direct | |
| Aug 1, 2022 | Common Stock | SSaleDisposed | −3,681 | $107.37F5 | −$395,228.97 | 3,761,437 | Direct | |
| Aug 1, 2022 | Common Stock | SSaleDisposed | −2,574 | $108.54F6 | −$279,381.96 | 3,758,863 | 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 29, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 263,295 | Direct | |
| Aug 1, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 250,757 | 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 $107.60 to $108.58. 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 $108.60 to $109.10. 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 $106.15 to $107.14. 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 $107.15 to $108.12. 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 $108.31 to $108.80. 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.