Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Nov 2, 2022
- Accession no.
- 0000927628-22-000297
- Filed
- Nov 2, 2022
- Trade date
- Oct 31-Nov 1, 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 $2.68M. 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Oct 31, 2022 | Common Stock | SSaleDisposed | −3,582 | $105.60F3 | −$378,259.2 | 3,765,978 | Direct | |
| Oct 31, 2022 | Common Stock | SSaleDisposed | −8,956 | $106.50F4 | −$953,814 | 3,757,022 | Direct | |
| Nov 1, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −12,133 | $107.16F5 | −$1,300,172.28 | 3,757,427 | Direct | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −405 | $107.83F6 | −$43,671.15 | 3,757,022 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 125,377 | Direct | |
| Nov 1, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 112,839 | 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.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.05 to $105.95. 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.07 to $106.97. 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 $106.68 to $107.67. 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 $107.75 to $107.94. 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.