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NYSE · USD

COF

CAPITAL ONE FINANCIAL CORP

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Tapewire entity
547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 49 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601
Nov 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 3,400 $71.13 $241,842.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 15

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 719,048

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 13,500 $71.12 $960,120.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 14

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,448

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 4,900 $71.11 $348,439.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 13

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,948

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 19,300 $71.10 $1,372,230.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 12

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 740,848

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 7,800 $71.09 $554,502.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 11

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 760,148

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 100 $71.08 $7,108.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 10

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,948

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 1,600 $71.07 $113,712.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 9

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 768,048

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 7,900 $71.06 $561,374.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 8

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,648

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 15,600 $71.05 $1,108,380.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 7

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777,548

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 300 $71.04 $21,312.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 6

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 793,148

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 2,200 $71.03 $156,266.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 5

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 793,448

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 4,300 $71.02 $305,386.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 4

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 795,648

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 2,500 $71.01 $177,525.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 799,948

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 124,400 $71.00 $8,832,400.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 2

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802,448

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 15, 2004 Filed Jun 17, 2004 22:16 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 215,000 $9.73 $2,091,950.00
Disclosure

SEC source: 0001242043-04-000026 · fai327.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 926,848

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 10, 2004 Filed Jun 14, 2004 17:36 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 9,711 $0.00 Strike: $34.13 $0.00
Disclosure

SEC source: 0001242043-04-000025 · fin326.xml · derivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,400

Underlying: Common Stock · 9,711 shares

Expires 2012-12-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: These options become exercisable in 33 1/3% increments on the anniversary of the grant in each of 2003, 2004 and 2005.

Read SEC document
June 10, 2004 Filed Jun 14, 2004 17:36 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 10,289 $0.00 Strike: $37.08 $0.00
Disclosure

SEC source: 0001242043-04-000025 · fin326.xml · derivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,817

Underlying: Common Stock · 10,289 shares

Expires 2008-12-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable in 33 1/3% increments beginning on December 17, 1999 and annually from that date thereafter.

Read SEC document
June 10, 2004 Filed Jun 14, 2004 17:36 UTC
FINNERAN JOHN G JREVP and General Counsel
SaleCommon Stock 20,000 $70.40 $1,408,000.00
Disclosure

SEC source: 0001242043-04-000025 · fin326.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,265

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 10, 2004 Filed Jun 14, 2004 17:36 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 10,289 $37.08 $381,516.12
Disclosure

SEC source: 0001242043-04-000025 · fin326.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,265

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 10, 2004 Filed Jun 14, 2004 17:36 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 9,711 $34.13 $331,436.43
Disclosure

SEC source: 0001242043-04-000025 · fin326.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,976

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 03, 2004 Filed Jun 7, 2004 12:50 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 9,489 $0.00 Strike: $34.13 $0.00
Disclosure

SEC source: 0001242043-04-000024 · fin325.xml · derivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,111

Underlying: Common Stock · 9,489 shares

Expires 2012-12-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: These options become exercisable in 33 1/3% increments on the anniversary of the grant in each of 2003, 2004 and 2005.

Read SEC document
June 03, 2004 Filed Jun 7, 2004 12:50 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 10,511 $0.00 Strike: $33.77 $0.00
Disclosure

SEC source: 0001242043-04-000024 · fin325.xml · derivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,511 shares

Expires 2008-06-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable when the trading price of the Common Stock equalled or exceeded $175.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period before the third anniversary of the grant date of this option. This criterion was fulfilled on September 06, 2000.

Read SEC document
June 03, 2004 Filed Jun 7, 2004 12:50 UTC
FINNERAN JOHN G JREVP and General Counsel
SaleCommon Stock 20,000 $69.07 $1,381,400.00
Disclosure

SEC source: 0001242043-04-000024 · fin325.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,265

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 03, 2004 Filed Jun 7, 2004 12:50 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 9,489 $34.13 $323,859.57
Disclosure

SEC source: 0001242043-04-000024 · fin325.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,265

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 03, 2004 Filed Jun 7, 2004 12:50 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 10,511 $33.77 $354,956.47
Disclosure

SEC source: 0001242043-04-000024 · fin325.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,776

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC Exercise / conversionDirector Stock Option (Right to Buy) · Derivative 21,000 $0.00 Strike: $6.63 $0.00
Disclosure

SEC source: 0001242043-04-000021 · die321.xml · derivative · entry 6

DIETZ W RONALD · CIK 0001238031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,000 shares

Expires 2005-04-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC SaleCommon Stock 21,000 $70.00 $1,470,000.00
Disclosure

SEC source: 0001242043-04-000021 · die321.xml · nonDerivative · entry 2

DIETZ W RONALD · CIK 0001238031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,811

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 11, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person under the Company's Dividend Reinvestment and Stock Purchase Plan through May 31, 2004.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC Exercise / conversionCommon Stock 21,000 $6.63 $139,230.00
Disclosure

SEC source: 0001242043-04-000021 · die321.xml · nonDerivative · entry 1

DIETZ W RONALD · CIK 0001238031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,811

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 11, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $33.77 $0.00
Disclosure

SEC source: 0001242043-04-000022 · fin322.xml · derivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,511

Underlying: Common Stock · 20,000 shares

Expires 2008-06-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable when the trading price of the Common Stock equalled or exceeded $175.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period before the third anniversary of the grant date of this option. This criterion was fulfilled on September 06, 2000.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
FINNERAN JOHN G JREVP and General Counsel
SaleCommon Stock 20,000 $69.15 $1,383,000.00
Disclosure

SEC source: 0001242043-04-000022 · fin322.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,265

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 20,000 $33.77 $675,400.00
Disclosure

SEC source: 0001242043-04-000022 · fin322.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,265

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
KLANE LARRY AExecutive Vice President
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 26,015 $0.00 Strike: $48.54 $0.00
Disclosure

SEC source: 0001242043-04-000023 · kla323.xml · derivative · entry 3

KLANE LARRY A · CIK 0001238036 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,031

Underlying: Common Stock · 26,015 shares

Expires 2011-10-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable if, among other possible criteria, the Company achieved a cumulative earnings per share of more than $5.03 in four consecutive fiscal quarters prior to December 31, 2004. This criterion was fulfilled on March 31, 2004 and these stock options vested in their entirety on April 22, 2004.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
KLANE LARRY AExecutive Vice President
SaleCommon Stock 26,015 $70.00 $1,821,050.00
Disclosure

SEC source: 0001242043-04-000023 · kla323.xml · nonDerivative · entry 2

KLANE LARRY A · CIK 0001238036 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,949

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on April 26, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 27, 2004 Filed Jun 1, 2004 22:01 UTC
KLANE LARRY AExecutive Vice President
Exercise / conversionCommon Stock 26,015 $48.54 $1,262,768.10
Disclosure

SEC source: 0001242043-04-000023 · kla323.xml · nonDerivative · entry 1

KLANE LARRY A · CIK 0001238036 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,964

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on April 26, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 25, 2004 Filed May 27, 2004 17:09 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 18,782 $0.00 Strike: $33.77 $0.00
Disclosure

SEC source: 0001242043-04-000020 · fin320.xml · derivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,511

Underlying: Common Stock · 18,782 shares

Expires 2008-06-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option became exercisable when the trading price of the Common Stock equalled or exceeded $175.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period before the third anniversary of the grant date of this option. This criterion was fulfilled on September 06, 2000.

Read SEC document
May 25, 2004 Filed May 27, 2004 17:09 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,218 $0.00 Strike: $33.41 $0.00
Disclosure

SEC source: 0001242043-04-000020 · fin320.xml · derivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,218 shares

Expires 2005-09-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 25, 2004 Filed May 27, 2004 17:09 UTC
FINNERAN JOHN G JREVP and General Counsel
SaleCommon Stock 20,000 $68.00 $1,360,000.00
Disclosure

SEC source: 0001242043-04-000020 · fin320.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,265

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

Read SEC document
May 25, 2004 Filed May 27, 2004 17:09 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 18,782 $33.77 $634,268.14
Disclosure

SEC source: 0001242043-04-000020 · fin320.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,265

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

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May 25, 2004 Filed May 27, 2004 17:09 UTC
FINNERAN JOHN G JREVP and General Counsel
Exercise / conversionCommon Stock 1,218 $33.41 $40,693.38
Disclosure

SEC source: 0001242043-04-000020 · fin320.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,483

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on May 14, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

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May 17, 2004 Filed May 19, 2004 22:46 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantPerformance Units · Derivative 355,410 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001242043-04-000019 · fai319.xml · derivative · entry 4

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,410

Underlying: Common Stock · 355,410 shares

Expires 2007-03-31

F1 · security: The Performance Shares were cancelled by mutual agreement of the reporting person and the Company on May 17, 2004. In return, the reporting person was awarded a similar grant of restricted stock units and the amount reported represents the maximum number of restricted stock units to be issued. The actual number of restricted stock units will depend on the Company's fully diluted compound earnings per share growth rate compared with that of a peer group of companies over the three-year period beginning January 1, 2004 and ending December 31, 2006. The restricted stock units, if any, will vest on March 31, 2007 and will become issuable on the January 1 following the reporting person's retirement or other departure from employment with the Company. The cancellation of the Performance Shares and the issuance of the restricted stock units were done pursuant to the terms of the reporting person's original grant.

F1 · derivative.exercise_date: The Performance Shares were cancelled by mutual agreement of the reporting person and the Company on May 17, 2004. In return, the reporting person was awarded a similar grant of restricted stock units and the amount reported represents the maximum number of restricted stock units to be issued. The actual number of restricted stock units will depend on the Company's fully diluted compound earnings per share growth rate compared with that of a peer group of companies over the three-year period beginning January 1, 2004 and ending December 31, 2006. The restricted stock units, if any, will vest on March 31, 2007 and will become issuable on the January 1 following the reporting person's retirement or other departure from employment with the Company. The cancellation of the Performance Shares and the issuance of the restricted stock units were done pursuant to the terms of the reporting person's original grant.

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May 17, 2004 Filed May 19, 2004 22:46 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Disposition to issuerPerformance Shares · Derivative 355,410 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001242043-04-000019 · fai319.xml · derivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 355,410 shares

Expires 2007-03-31

F1 · security: The Performance Shares were cancelled by mutual agreement of the reporting person and the Company on May 17, 2004. In return, the reporting person was awarded a similar grant of restricted stock units and the amount reported represents the maximum number of restricted stock units to be issued. The actual number of restricted stock units will depend on the Company's fully diluted compound earnings per share growth rate compared with that of a peer group of companies over the three-year period beginning January 1, 2004 and ending December 31, 2006. The restricted stock units, if any, will vest on March 31, 2007 and will become issuable on the January 1 following the reporting person's retirement or other departure from employment with the Company. The cancellation of the Performance Shares and the issuance of the restricted stock units were done pursuant to the terms of the reporting person's original grant.

F1 · derivative.exercise_date: The Performance Shares were cancelled by mutual agreement of the reporting person and the Company on May 17, 2004. In return, the reporting person was awarded a similar grant of restricted stock units and the amount reported represents the maximum number of restricted stock units to be issued. The actual number of restricted stock units will depend on the Company's fully diluted compound earnings per share growth rate compared with that of a peer group of companies over the three-year period beginning January 1, 2004 and ending December 31, 2006. The restricted stock units, if any, will vest on March 31, 2007 and will become issuable on the January 1 following the reporting person's retirement or other departure from employment with the Company. The cancellation of the Performance Shares and the issuance of the restricted stock units were done pursuant to the terms of the reporting person's original grant.

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May 12, 2004 Filed May 19, 2004 22:46 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GiftCommon Stock 7,900 $0.00 $0.00
Disclosure

SEC source: 0001242043-04-000019 · fai319.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,848

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May 07, 2004 Filed May 11, 2004 19:29 UTC
WEST CATHERINEExecutive Vice President
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 18,000 $0.00 Strike: $46.38 $0.00
Disclosure

SEC source: 0001242043-04-000018 · wes318.xml · derivative · entry 3

WEST CATHERINE · CIK 0001238043 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2010-05-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option becomes exercisable in 33 1/3% increments beginning on May 30, 2001 and annually from that date thereafter.

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May 07, 2004 Filed May 11, 2004 19:29 UTC
WEST CATHERINEExecutive Vice President
SaleCommon Stock 18,000 $65.40 $1,177,200.00
Disclosure

SEC source: 0001242043-04-000018 · wes318.xml · nonDerivative · entry 2

WEST CATHERINE · CIK 0001238043 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,296

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes 1,810 shares acquired under the Company's Associate Stock Purchase Plan since last reported through May 11, 2004.

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May 07, 2004 Filed May 11, 2004 19:29 UTC
WEST CATHERINEExecutive Vice President
Exercise / conversionCommon Stock 18,000 $46.38 $834,840.00
Disclosure

SEC source: 0001242043-04-000018 · wes318.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,296

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

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April 27, 2004 Filed Apr 28, 2004 20:46 UTC Exercise / conversionDirector Stock Option (Right to Buy) · Derivative 21,000 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001242043-04-000016 · fli316.xml · derivative · entry 11

FLICK JAMES A JR · CIK 0001238034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,000 shares

Expires 2006-04-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: This option became exercisable in 33 1/3% increments beginning on April 18, 1997 and annually thereafter.

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April 27, 2004 Filed Apr 28, 2004 20:46 UTC SaleCommon Stock 2,300 $68.42 $157,366.00
Disclosure

SEC source: 0001242043-04-000016 · fli316.xml · nonDerivative · entry 10

FLICK JAMES A JR · CIK 0001238034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,500

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April 27, 2004 Filed Apr 28, 2004 20:46 UTC SaleCommon Stock 1,400 $68.41 $95,774.00
Disclosure

SEC source: 0001242043-04-000016 · fli316.xml · nonDerivative · entry 9

FLICK JAMES A JR · CIK 0001238034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,800

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April 27, 2004 Filed Apr 28, 2004 20:46 UTC SaleCommon Stock 700 $68.38 $47,866.00
Disclosure

SEC source: 0001242043-04-000016 · fli316.xml · nonDerivative · entry 8

FLICK JAMES A JR · CIK 0001238034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,200

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April 27, 2004 Filed Apr 28, 2004 20:46 UTC SaleCommon Stock 400 $68.37 $27,348.00
Disclosure

SEC source: 0001242043-04-000016 · fli316.xml · nonDerivative · entry 7

FLICK JAMES A JR · CIK 0001238034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,900

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.