Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Nov 10, 2022
- Accession no.
- 0000927628-22-000317
- Filed
- Nov 10, 2022
- Trade date
- Nov 8-9, 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 $2.61M. 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 8, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Nov 8, 2022 | Common Stock | SSaleDisposed | −12,338 | $104.71F2 | −$1,291,911.98 | 3,757,222 | Direct | |
| Nov 8, 2022 | Common Stock | SSaleDisposed | −200 | $105.17F3 | −$21,034 | 3,757,022 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseAcquired | +12,538 | $56.32 | +$706,140.16 | 3,769,560 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −9,906 | $103.11F4 | −$1,021,407.66 | 3,759,654 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −2,632 | $104.11F5 | −$274,017.52 | 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 8, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 50,149 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseDisposed | −12,538 | $0.00 | $0 | 37,611 | 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 $104.14 to $105.12. 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 $105.16 to $105.18. 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 $102.80 to $103.68. 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 $103.85 to $104.32. 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.