Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Aug 4, 2022
- Accession no.
- 0000927628-22-000257
- Filed
- Aug 4, 2022
- Trade date
- Aug 2-3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.71M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,771,401 | Direct | |
| Aug 2, 2022 | Common Stock | SSaleDisposed | −8,193 | $107.90F2 | −$884,024.7 | 3,763,208 | Direct | |
| Aug 2, 2022 | Common Stock | SSaleDisposed | −4,345 | $108.64F3 | −$472,040.8 | 3,758,863 | Direct | |
| Aug 3, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,771,401 | Direct | |
| Aug 3, 2022 | Common Stock | SSaleDisposed | −11,057 | $108.30F4 | −$1,197,473.1 | 3,760,344 | Direct | |
| Aug 3, 2022 | Common Stock | SSaleDisposed | −1,481 | $108.82F5 | −$161,162.42 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 238,219 | Direct | |
| Aug 3, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 225,681 | 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 $107.42 to $108.39. 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.44 to $108.84. 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 $107.78 to $108.68. 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 $108.79 to $108.95. 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.