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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601

Latest available

Insider transactions

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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
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 8,475 $68.49 $580,452.75
Disclosure

SEC source: 0001225208-16-029608 · doc4.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,742

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 16,651 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029608 · doc4.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,217

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 117,639 $68.49 $8,057,095.11
Disclosure

SEC source: 0001225208-16-029609 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,005

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
GrantCommon Stock 246,622 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029609 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,710,644

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Tax withholdingCommon Stock 9,997 $68.49 $684,694.53
Disclosure

SEC source: 0001225208-16-029610 · doc4.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,216

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 19,640 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029610 · doc4.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,213

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 7,466 $68.49 $511,346.34
Disclosure

SEC source: 0001225208-16-029611 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,828

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 15,651 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029611 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,294

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 7,725 $68.49 $529,085.25
Disclosure

SEC source: 0001225208-16-029612 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,747

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 18,413 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029612 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,472

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Borgmann Kevin S.Chief Risk Officer
Tax withholdingCommon Stock 3,914 $68.49 $268,069.86
Disclosure

SEC source: 0001225208-16-029613 · doc4.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,957

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Borgmann Kevin S.Chief Risk Officer
GrantCommon Stock 7,690 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029613 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,871

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 9,167 $68.49 $627,847.83
Disclosure

SEC source: 0001225208-16-029614 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,790

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 18,011 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029614 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,957

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 9,899 $68.49 $677,982.51
Disclosure

SEC source: 0001225208-16-029616 · doc4.xml · nonDerivative · entry 2

Witter Jonathan W. · CIK 0001528493 · President, Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,793

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Witter Jonathan W.President, Retail Banking
GrantCommon Stock 19,449 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029616 · doc4.xml · nonDerivative · entry 1

Witter Jonathan W. · CIK 0001528493 · President, Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,692

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 7,931 $68.49 $543,194.19
Disclosure

SEC source: 0001225208-16-029615 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,047

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 14,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029615 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,978

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 01, 2016 Filed Mar 3, 2016 21:15 UTC
Blackley Richard ScottPrincipal Accounting Officer
SaleCommon Stock 5,239 $66.61 $348,969.79
Disclosure

SEC source: 0001225208-16-029064 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,044

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $66.26 to $66.88. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 24, 2016 Filed Feb 26, 2016 21:27 UTC GrantCommon Stock 650 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-028426 · doc4.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650

F1 · security: Restricted Stock Units which vest in their entirety on February 24, 2017.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 7,658 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · derivative · entry 13

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,658 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,334 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · derivative · entry 12

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,667

Underlying: Common Stock · 3,334 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 3,608 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · derivative · entry 11

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,607

Underlying: Common Stock · 3,608 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 7,658 $62.51 $478,701.58
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,631

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,608 $62.51 $225,536.08
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,289

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,334 $62.51 $208,408.34
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,897

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,374 $62.54 $85,929.96
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,231

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,365 $62.54 $85,367.10
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,605

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,334 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,970

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 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,608 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,636

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 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 7,658 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,028

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 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 8,245 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 12

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,245 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,704 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 11

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,406

Underlying: Common Stock · 3,704 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 4,206 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 10

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,206

Underlying: Common Stock · 4,206 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 8,245 $62.51 $515,394.95
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,847

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 4,206 $62.51 $262,917.06
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,092

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

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February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,704 $62.51 $231,537.04
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,298

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,903 $62.54 $119,013.62
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,002

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement.

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February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,517 $62.54 $94,873.18
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,905

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement.

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February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,704 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,422

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 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 4,206 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,718

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 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 8,245 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,512

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 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionRestricted Stock Units · Derivative 9,912 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · derivative · entry 12

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,912 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversion2015 Restricted Stock Units · Derivative 4,302 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · derivative · entry 11

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,604

Underlying: Common Stock · 4,302 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversion2014 Restricted Stock Units · Derivative 4,879 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · derivative · entry 10

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,879

Underlying: Common Stock · 4,879 shares

Expires not disclosed

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_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 9,912 $62.51 $619,599.12
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · nonDerivative · entry 8

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,573

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 4,879 $62.51 $304,986.29
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · nonDerivative · entry 7

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,485

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 4,302 $62.51 $268,918.02
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · nonDerivative · entry 6

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,364

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 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Tax withholdingCommon Stock 2,361 $62.54 $147,656.94
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · nonDerivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,666

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Tax withholdingCommon Stock 1,931 $62.54 $120,764.74
Disclosure

SEC source: 0001225208-16-026814 · doc4.xml · nonDerivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,027

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement.

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.