Fairbank Richard D's Form 4 filing
Capital One Financial CorpCOF · filed Nov 6, 2026
- Accession no.
- 0001238032-26-000013
- Filed
- Nov 6, 2026, 4:08 PM ET
- Trade date
- Nov 4, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 15 non-derivative transactions and 1 derivative transaction. Open-market sales total $18.6M. 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 4, 2026 | Common Stock | MOption exerciseAcquired | +40,743 | $86.34 | +$3,517,750.62 | 4,059,263 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −5,454 | $199.55F2 | −$1,088,345.7 | 4,053,809 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −5,315 | $200.60F3 | −$1,066,189 | 4,048,494 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −18,816 | $201.61F4 | −$3,793,493.76 | 4,029,678 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −9,942 | $202.49F5 | −$2,013,155.58 | 4,019,736 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −24,613 | $203.49F6 | −$5,008,499.37 | 3,995,123 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −400 | $204.17F7 | −$81,668 | 3,994,723 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −2,101 | $205.71F8 | −$432,196.71 | 3,992,622 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −2,900 | $206.88F9 | −$599,952 | 3,989,722 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −700 | $207.99F10 | −$145,593 | 3,989,022 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −2,502 | $208.98F11 | −$522,867.96 | 3,986,520 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −3,773 | $210.42F12 | −$793,914.66 | 3,982,747 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −1,500 | $211.26F13 | −$316,890 | 3,981,247 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −4,929 | $213.66F14 | −$1,053,130.14 | 3,976,318 | Direct | |
| Nov 4, 2026 | Common Stock | SSaleDisposed | −7,798 | $214.61F15 | −$1,673,528.78 | 3,968,520 | 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 4, 2026 | Common Stock | MOption exerciseDisposed | −40,743 | $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 $198.98 to $199.97. 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 $200.00 to $200.99. 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 $201.01 to $202.00. 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 $202.02 to $203.01. 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.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.03 to $204.00. 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 $204.07 to $204.26. 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 $205.14 to $206.07. 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 $206.33 to $207.18. 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.
- F10
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.43 to $208.21. 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 $208.73 to $209.65. 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 $209.09 to $210.87. 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.
- F13
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.96 to $211.45. 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.
- F14
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.00 to $213.99. 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.
- F15
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $214.02 to $214.90. 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.