Form 4 for COF Capital One
Accepted 2021-07-29 00:00:00 ET · period of report 2021-07-27 · accession 0000927628-21-000250 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-29 | 2021-07-27 | COF | FAIRBANK RICHARD D | COB, CEO, Pres, Dir | S - Sale+OE | $161.81 | -219.0K | 3.76M | -6% | -$35.44M |
| D | 2021-07-29 | 2021-07-27 | COF | FAIRBANK RICHARD D | COB, CEO, Pres, Dir | M - OptEx | $45.75 | +359.9K | 3.98M | +10% | +$16.47M |
| D | 2021-07-29 | 2021-07-27 | COF | FAIRBANK RICHARD D | COB, CEO, Pres, Dir | M - OptEx | $0.00 | -359.9K | 100 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-27 | S | D | 115,385 | $161.92 | 3,806,123 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.40 to $162.39. Information regarding the number of shares sold at each price will be provided upon request. |
| 2 | Common | Common Stock | 2021-07-27 | M | A | 359,909 | $45.75 | 3,977,787 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F2) Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. |
| 3 | Common | Common Stock | 2021-07-27 | S | D | 17,158 | $160.00 | 3,960,629 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.39 to $160.37. Information regarding the number of shares sold at each price will be provided upon request. |
| 4 | Common | Common Stock | 2021-07-27 | S | D | 39,121 | $160.94 | 3,921,508 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.40 to $161.39. Information regarding the number of shares sold at each price will be provided upon request. |
| 5 | Common | Common Stock | 2021-07-27 | S | D | 44,225 | $162.89 | 3,761,898 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.40 to $163.39. Information regarding the number of shares sold at each price will be provided upon request. |
| 6 | Common | Common Stock | 2021-07-27 | S | D | 3,100 | $163.48 | 3,758,798 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.40 to $163.66. Information regarding the number of shares sold at each price will be provided upon request. |
| 7 | Derivative | Stock Options | 2021-07-27 | M | D | 359,909 | $0.00 | 100 | D | $45.75 · 2015-02-10 to 2022-01-30 | 359,909 Common Stock | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |