Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Nov 15, 2022
- Accession no.
- 0000927628-22-000322
- Filed
- Nov 15, 2022
- Trade date
- Nov 10-14, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $4.25M. It was filed 5 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 10, 2022 | Common Stock | MOption exerciseAcquired | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −4,220 | $107.73F2 | −$454,620.6 | 3,765,339 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −8,317 | $108.60F3 | −$903,226.2 | 3,757,022 | Direct | |
| Nov 11, 2022 | Common Stock | MOption exerciseAcquired | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | Direct | |
| Nov 11, 2022 | Common Stock | SSaleDisposed | −2,740 | $114.73F4 | −$314,360.2 | 3,766,819 | Direct | |
| Nov 11, 2022 | Common Stock | SSaleDisposed | −8,900 | $115.88F5 | −$1,031,332 | 3,757,919 | Direct | |
| Nov 11, 2022 | Common Stock | SSaleDisposed | −897 | $116.49F6 | −$104,491.53 | 3,757,022 | Direct | |
| Nov 14, 2022 | Common Stock | MOption exerciseAcquired | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | Direct | |
| Nov 14, 2022 | Common Stock | SSaleDisposed | −12,537 | $114.77F7 | −$1,438,871.49 | 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 10, 2022 | Common Stock | MOption exerciseDisposed | −12,537 | $0.00 | $0 | 25,074 | Direct | |
| Nov 11, 2022 | Common Stock | MOption exerciseDisposed | −12,537 | $0.00 | $0 | 12,537 | Direct | |
| Nov 14, 2022 | Common Stock | MOption exerciseDisposed | −12,537 | $0.00 | $0 | 0 | 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 $107.23 to $108.20. 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 $108.30 to $109.01. 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 $114.25 to $115.22. 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 $115.40 to $116.37. 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 $116.41 to $116.68. 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.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.40 to $115.28. 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.