Filing Details
- Accession Number:
- 0000927628-21-000220
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-03 16:18:51
- Reporting Period:
- 2021-06-01
- Accepted Time:
- 2021-06-03 16:18:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1497948 | Laprade,Iii Frank G. | 1680 Capital One Drive Mclean VA 22102 | Chief Enterprise Srvcs Officer | No | 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 | 2021-06-01 | 32,420 | $63.73 | 88,727 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-01 | 19,598 | $164.45 | 69,129 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-06-01 | 12,822 | $165.16 | 56,307 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2021-06-01 | 32,420 | $0.00 | 32,420 | $63.73 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2026-02-03 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 755 | Indirect | By 401(k) |
Footnotes
- This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2021, 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 $163.85 to $164.84. 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 $164.85 to $165.61. Information regarding the number of shares sold at each price will be provided upon request.
- Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
- This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.
Billionaire Hedge Funds
