Borgmann Kevin S.'s Form 4 filing
Capital One Financial Corp (COF) · filed Aug 8, 2024
- Accession no.
- 0000927628-24-000269
- Filed
- Aug 8, 2024
- Trade date
- Aug 6, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 13 non-derivative transactions and 1 derivative transaction. Open-market sales total $8.18M. 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 |
|---|---|
| Borgmann Kevin S.CIK 0001567914 | Officer (Senior Advisor to the 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 6, 2024 | Common Stock | MOption exerciseAcquired | +23,582 | $86.34 | +$2,036,069.88 | 102,466 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −3,537 | $131.27F2 | −$464,301.99 | 98,929 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −3,754 | $132.20F3 | −$496,278.8 | 95,175 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −16,291 | $133.37F4 | −$2,172,730.67 | 78,884 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −2,503 | $131.28F5 | −$328,593.84 | 76,381 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −2,622 | $132.25F6 | −$346,759.5 | 73,759 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −11,325 | $133.37F4 | −$1,510,415.25 | 62,434 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −1,068 | $131.22F7 | −$140,142.96 | 61,366 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −1,311 | $132.17F8 | −$173,274.87 | 60,055 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −5,304 | $133.37F9 | −$707,394.48 | 54,751 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −2,338 | $131.29F10 | −$306,956.02 | 52,413 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −2,200 | $132.23F11 | −$290,906 | 50,213 | Direct | |
| Aug 6, 2024 | Common Stock | SSaleDisposed | −9,279 | $133.37F12 | −$1,237,540.23 | 40,934 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 6, 2024 | Common Stock | MOption exerciseDisposed | −23,582 | $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 $130.83 to $131.77. 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 $131.84 to $132.66. 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 $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.
Referenced by the price of 2 transactions 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 $130.86 to $131.84. 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 $131.90 to $132.84. 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 $130.74 to $131.64. 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.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.77 to $132.66. 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.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.67. 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.
- F10
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.85 to $131.77. 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.
- F11
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.66. 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.
- F12
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.98 to $133.80. 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.