Fairbank Richard D 的 Form 4 申報
Capital One Financial Corp（COF），2022/11/15 申報
- 申報編號
- 0000927628-22-000322
- 申報時間
- 2022/11/15
- 交易日
- 2022/11/10-11/14
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 9 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $424.7 萬。交易後 5 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Fairbank Richard DCIK 0001238032 | 董事、高階主管（董事長、執行長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/10 | Common Stock | M行使選擇權取得 | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | 直接 | |
| 2022/11/10 | Common Stock | S賣出處分 | −4,220 | $107.73F2 | −$454,620.6 | 3,765,339 | 直接 | |
| 2022/11/10 | Common Stock | S賣出處分 | −8,317 | $108.60F3 | −$903,226.2 | 3,757,022 | 直接 | |
| 2022/11/11 | Common Stock | M行使選擇權取得 | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | 直接 | |
| 2022/11/11 | Common Stock | S賣出處分 | −2,740 | $114.73F4 | −$314,360.2 | 3,766,819 | 直接 | |
| 2022/11/11 | Common Stock | S賣出處分 | −8,900 | $115.88F5 | −$1,031,332 | 3,757,919 | 直接 | |
| 2022/11/11 | Common Stock | S賣出處分 | −897 | $116.49F6 | −$104,491.53 | 3,757,022 | 直接 | |
| 2022/11/14 | Common Stock | M行使選擇權取得 | +12,537 | $56.32 | +$706,083.84 | 3,769,559 | 直接 | |
| 2022/11/14 | Common Stock | S賣出處分 | −12,537 | $114.77F7 | −$1,438,871.49 | 3,757,022 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/11/10 | Common Stock | M行使選擇權處分 | −12,537 | $0.00 | $0 | 25,074 | 直接 | |
| 2022/11/11 | Common Stock | M行使選擇權處分 | −12,537 | $0.00 | $0 | 12,537 | 直接 | |
| 2022/11/14 | Common Stock | M行使選擇權處分 | −12,537 | $0.00 | $0 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。