Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Aug 12, 2022
- Accession no.
- 0000927628-22-000263
- Filed
- Aug 12, 2022
- Trade date
- Aug 10-12, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 3 derivative transactions. Open-market sales total $4.29M. 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 10, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,554 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −2,950 | $109.47F2 | −$322,936.5 | 3,766,604 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −2,446 | $110.64F3 | −$270,625.44 | 3,764,158 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −5,952 | $111.64F4 | −$664,481.28 | 3,758,206 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −1,190 | $112.20F5 | −$133,518 | 3,757,016 | Direct | |
| Aug 11, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,554 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −11,488 | $115.37F6 | −$1,325,370.56 | 3,758,066 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −1,050 | $116.07F7 | −$121,873.5 | 3,757,016 | Direct | |
| Aug 12, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,554 | Direct | |
| Aug 12, 2022 | Common Stock | SSaleDisposed | −11,488 | $115.71F8 | −$1,329,276.48 | 3,758,066 | Direct | |
| Aug 12, 2022 | Common Stock | SSaleDisposed | −1,050 | $116.34F9 | −$122,157 | 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 10, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 162,991 | Direct | |
| Aug 11, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 150,453 | Direct | |
| Aug 12, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 137,915 | 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 $109.08 to $110.01. 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 $110.08 to $110.98. 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 $111.09 to $112.07. 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 $112.09 to $112.36. 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 $114.90 to $115.85. 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 $116.06 to $116.13. 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.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.24 to $116.23. 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.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $116.30 to $116.34. 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.