Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Nov 4, 2022
- Accession no.
- 0000927628-22-000307
- Filed
- Nov 4, 2022
- Trade date
- Nov 2-3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.59M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −12,538 | $106.12F2 | −$1,330,532.56 | 3,757,022 | Direct | |
| Nov 3, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −4,315 | $99.53F3 | −$429,471.95 | 3,765,245 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −8,223 | $100.41F4 | −$825,671.43 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 100,301 | Direct | |
| Nov 3, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 87,763 | 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 $105.69 to $106.59. 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 $99.02 to $100.01. 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.05 to $100.96. 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.