LaPrade,III Frank G.'s Form 4 filing
Capital One Financial Corp (COF) · filed Dec 18, 2023
- Accession no.
- 0000927628-23-000326
- Filed
- Dec 18, 2023
- Trade date
- Dec 14, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.17M. 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 |
|---|---|
| LaPrade,III Frank G.CIK 0001497948 | Officer (Chief Enterprise Srvcs Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2023 | Common Stock | MOption exerciseAcquired | +27,955 | $86.34 | +$2,413,634.7 | 82,946 | Direct | |
| Dec 14, 2023 | Common Stock | SSaleDisposed | −27,955 | $130.00 | −$3,634,150 | 54,991 | Direct | |
| Dec 14, 2023 | Common Stock | SSaleDisposed | −11,805 | $130.00 | −$1,534,650 | 43,186 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2023 | Common Stock | MOption exerciseDisposed | −27,955 | $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.