Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Aug 10, 2022
- Accession no.
- 0000927628-22-000261
- Filed
- Aug 10, 2022
- Trade date
- Aug 8-9, 2022
- Filing delay
- 2 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 $2.70M. 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 8, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,771,401 | Direct | |
| Aug 8, 2022 | Common Stock | SSaleDisposed | −4,324 | $107.39F2 | −$464,354.36 | 3,767,077 | Direct | |
| Aug 8, 2022 | Common Stock | SSaleDisposed | −8,214 | $108.26F3 | −$889,247.64 | 3,758,863 | Direct | |
| Aug 8, 2022 | Common Stock | GGiftDisposed | −1,847 | $0.00 | $0 | 3,757,016 | Direct | |
| Aug 9, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,554 | Direct | |
| Aug 9, 2022 | Common Stock | SSaleDisposed | −11,324 | $107.24F4 | −$1,214,385.76 | 3,758,230 | Direct | |
| Aug 9, 2022 | Common Stock | SSaleDisposed | −1,214 | $107.93 | −$131,027.02 | 3,757,016 | 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 8, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 188,067 | Direct | |
| Aug 9, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 175,529 | 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 $106.96 to $107.955. 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 $107.96 to $108.70. 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 $106.84 to $107.76. 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.