Form 4 for COF Capital One
Accepted 2024-02-05 00:00:00 ET · period of report 2024-02-01 · accession 0000927628-24-000040 · 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 | 2024-02-05 | 2024-02-01 | COF | FAIRBANK RICHARD D | COB, CEO, Dir | F - Tax | $134.56 | -993 | 3.85M | -0.0% | -$133.6K |
| DM | 2024-02-05 | 2024-02-01 | COF | FAIRBANK RICHARD D | COB, CEO, Dir | M - OptEx | $134.56 | +993 | 3.85M | +0.0% | +$133.6K |
| DM | 2024-02-05 | 2024-02-01 | COF | FAIRBANK RICHARD D | COB, CEO, Dir | M - OptEx | $0.00 | -993 | 21.3K | -4% | $0 |
| DM | 2024-02-05 | 2024-02-01 | COF | FAIRBANK RICHARD D | COB, CEO, Dir | A - Grant | $0.00 | +53.5K | 34.9K | New | $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 | 2024-02-01 | F | D | 234 | $134.56 | 3,848,418 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-01 | F | D | 267 | $134.56 | 3,848,652 | D | — | — | |
| 3 | Common | Common Stock | 2024-02-01 | F | D | 272 | $134.56 | 3,848,919 | D | — | — | |
| 4 | Common | Common Stock | 2024-02-01 | F | D | 220 | $134.56 | 3,849,191 | D | — | — | |
| 5 | Common | Common Stock | 2024-02-01 | M | A | 234 | $134.56 | 3,849,411 | D | — | — | |
| 6 | Common | Common Stock | 2024-02-01 | M | A | 267 | $134.56 | 3,849,177 | D | — | — | |
| 7 | Common | Common Stock | 2024-02-01 | M | A | 220 | $134.56 | 3,848,638 | D | — | — | (F2) Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. |
| 8 | Common | Common Stock | 2024-02-01 | M | A | 272 | $134.56 | 3,848,910 | D | — | — | |
| 9 | Derivative | Restricted Stock Units | 2024-02-01 | M | D | 272 | $0.00 | 16,404 | D | $0.00 · 2025-02-15 to 2025-02-15 | 272 Common Stock | (F5) Represents restricted stock units granted on February 3, 2022 for performance year 2022. (F1) Represents the automatic withholding of restricted stock units granted in February 2022 which settled in cash based on fair market value on February 1, 2024, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. |
| 10 | Derivative | 2022 Restricted Stock Units | 2024-02-01 | M | D | 220 | $0.00 | 19,791 | D | $0.00 · 2025-02-15 to 2025-02-15 | 220 Common Stock | (F4) Represents restricted stock units granted on February 3, 2022 for performance year 2021. (F1) Represents the automatic withholding of restricted stock units granted in February 2022 which settled in cash based on fair market value on February 1, 2024, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. |
| 11 | Derivative | 2023 Restricted Stock Units | 2024-02-01 | M | D | 267 | $0.00 | 24,288 | D | $0.00 · 2026-02-15 to 2026-02-15 | 267 Common Stock | (F6) Represents restricted stock units granted January 26, 2023 for performance year 2022. (F3) Represents the automatic withholding of restricted stock units granted in January 2023 which settled in cash based on fair market value on February 1, 2024, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. |
| 12 | Derivative | Restricted Stock Units | 2024-02-01 | A | A | 18,580 | $0.00 | 18,580 | D | $0.00 · 2027-02-15 to 2027-02-15 | 18,580 Common Stock | (F10) Represents restricted stock units granted February 1, 2024 for performance year 2024. (F9) Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading davs preceding the vesting date. |
| 13 | Derivative | Restricted Stock Units | 2024-02-01 | M | D | 234 | $0.00 | 21,305 | D | $0.00 · 2026-02-15 to 2026-02-15 | 234 Common Stock | (F7) Represents restricted stock units granted January 26, 2023 for performance year 2023. (F3) Represents the automatic withholding of restricted stock units granted in January 2023 which settled in cash based on fair market value on February 1, 2024, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. |
| 14 | Derivative | 2024 Restricted Stock Units | 2024-02-01 | A | A | 34,929 | $0.00 | 34,929 | D | $0.00 · 2027-02-15 to 2027-02-15 | 34,929 Common Stock | (F8) Represents restricted stock units granted February 1, 2024 for performance year 2023. (F9) Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading davs preceding the vesting date. |