Fairbank Richard D's Form 4 filing
Capital One Financial Corp (COF) · filed Nov 14, 2023
- Accession no.
- 0000927628-23-000306
- Filed
- Nov 14, 2023
- Trade date
- Nov 10-14, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.23M. It was filed 4 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, 2023 | Common Stock | MOption exerciseAcquired | +3,890 | $70.96 | +$276,034.4 | 3,852,302 | Direct | |
| Nov 10, 2023 | Common Stock | SSaleDisposed | −3,890 | $104.00 | −$404,560 | 3,848,412 | Direct | |
| Nov 13, 2023 | Common Stock | MOption exerciseAcquired | +3,890 | $70.96 | +$276,034.4 | 3,852,302 | Direct | |
| Nov 13, 2023 | Common Stock | SSaleDisposed | −3,890 | $104.04 | −$404,715.6 | 3,848,412 | Direct | |
| Nov 14, 2023 | Common Stock | MOption exerciseAcquired | +3,890 | $70.96 | +$276,034.4 | 3,852,302 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −3,890 | $106.93 | −$415,957.7 | 3,848,412 | 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, 2023 | Common Stock | MOption exerciseDisposed | −3,890 | $0.00 | $0 | 7,780 | Direct | |
| Nov 13, 2023 | Common Stock | MOption exerciseDisposed | −3,890 | $0.00 | $0 | 3,890 | Direct | |
| Nov 14, 2023 | Common Stock | MOption exerciseDisposed | −3,890 | $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.
No transaction price on this filing refers to a footnote.