Filing Details
- Accession Number:
- 0000927628-20-000303
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-12 16:18:23
- Reporting Period:
- 2020-11-09
- Accepted Time:
- 2020-11-12 16:18:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 927628 | Capital One Financial Corp | COF | National Commercial Banks (6021) | 541719854 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1238032 | D Richard Fairbank | 1680 Capital One Drive Mclean VA 22102 | Chairman, Ceo And President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-11-09 | 40,558 | $48.28 | 3,613,954 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-09 | 3,327 | $87.66 | 3,610,627 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-09 | 13,247 | $88.51 | 3,597,380 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-09 | 13,771 | $89.25 | 3,583,609 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-11-10 | 40,558 | $48.28 | 3,624,167 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-10 | 13,242 | $86.97 | 3,610,925 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-10 | 15,671 | $87.94 | 3,595,254 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-10 | 1,647 | $88.46 | 3,593,607 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-11-11 | 40,558 | $48.28 | 3,634,165 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-11 | 21,774 | $84.46 | 3,612,391 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-11 | 4,518 | $85.55 | 3,607,873 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-11 | 4,648 | $87.01 | 3,603,225 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2020-11-09 | 40,558 | $0.00 | 40,558 | $48.28 |
| Common Stock | Stock Options | Disposition | 2020-11-10 | 40,558 | $0.00 | 40,558 | $48.28 |
| Common Stock | Stock Options | Disposition | 2020-11-11 | 40,558 | $0.00 | 40,558 | $48.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 162,232 | 2014-01-26 | 2021-01-25 | No | 4 | M | Direct |
| 121,674 | 2014-01-26 | 2021-01-25 | No | 4 | M | Direct |
| 81,116 | 2014-01-26 | 2021-01-25 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.96 to $87.83. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.97 to $88.96. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.98 to $89.73. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.41 to $87.39. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.41 to $88.39. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.42 to $88.61. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.99 to $84.92. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.05 to $86.00. Information regarding the number of shares sold at each price will be provided upon request.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.53 to $87.41. Information regarding the number of shares sold at each price will be provided upon request.
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