Form 4 for COF Capital One
Accepted 2022-11-02 00:00:00 ET · period of report 2022-10-31 · accession 0000927628-22-000297 · 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 | 2022-11-02 | 2022-10-31+ | COF | FAIRBANK RICHARD D | COB, CEO, Dir | S - Sale+OE | $106.71 | -25.1K | 3.76M | -0.7% | -$2.68M |
| DM | 2022-11-02 | 2022-10-31+ | COF | FAIRBANK RICHARD D | COB, CEO, Dir | M - OptEx | $56.32 | +25.1K | 3.77M | +0.7% | +$1.41M |
| DM | 2022-11-02 | 2022-10-31+ | COF | FAIRBANK RICHARD D | COB, CEO, Dir | M - OptEx | $0.00 | -25.1K | 112.8K | -18% | $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 | 2022-10-31 | S | D | 3,582 | $105.60 | 3,765,978 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $105.05 to $105.95. Information regarding the number of shares sold at each price will be provided upon request. |
| 2 | Common | Common Stock | 2022-10-31 | M | A | 12,538 | $56.32 | 3,769,560 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 | 2022-11-01 | S | D | 405 | $107.83 | 3,757,022 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $107.75 to $107.94. Information regarding the number of shares sold at each price will be provided upon request. |
| 4 | Common | Common Stock | 2022-10-31 | S | D | 8,956 | $106.50 | 3,757,022 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $106.07 to $106.97. Information regarding the number of shares sold at each price will be provided upon request. |
| 5 | Common | Common Stock | 2022-11-01 | S | D | 12,133 | $107.16 | 3,757,427 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, 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 $106.68 to $107.67. Information regarding the number of shares sold at each price will be provided upon request. |
| 6 | Common | Common Stock | 2022-11-01 | M | A | 12,538 | $56.32 | 3,769,560 | D | — | — | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
| 7 | Derivative | Stock Options | 2022-10-31 | M | D | 12,538 | $0.00 | 125,377 | D | $56.32 · 2016-02-10 to 2023-01-30 | 12,538 Common Stock | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
| 8 | Derivative | Stock Options | 2022-11-01 | M | D | 12,538 | $0.00 | 112,839 | D | $56.32 · 2016-02-10 to 2023-01-30 | 12,538 Common Stock | (F1) This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |