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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
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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

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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
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,776 $71.37 $198,123.12
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,917

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,281 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,693

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: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 5,100 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,412

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: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 8,105 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · derivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,106

Underlying: Common Stock · 8,105 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.

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2013 Restricted Stock Units · Derivative 4,023 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · derivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,048

Underlying: Common Stock · 4,023 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.

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 8,105 $72.24 $585,505.20
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,268

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 4,023 $72.24 $290,621.52
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,373

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 3,580 $71.37 $255,504.60
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,396

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,909 $71.37 $207,615.33
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,976

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 4,023 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,885

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: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 8,105 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004397 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,862

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: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Blackley Richard ScottPrincipal Accounting Officer
Tax withholdingCommon Stock 947 $71.37 $67,587.39
Disclosure

SEC source: 0001225208-14-004398 · doc4.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,511

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:16 UTC
Blackley Richard ScottPrincipal Accounting Officer
Tax withholdingCommon Stock 858 $71.37 $61,235.46
Disclosure

SEC source: 0001225208-14-004398 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,458

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 04, 2014 Filed Feb 6, 2014 21:36 UTC
CRAWFORD STEPHEN SChief Financial Officer
Tax withholdingCommon Stock 15,944 $68.72 $1,095,671.68
Disclosure

SEC source: 0001225208-14-003597 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,018

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 4, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 30, 2014 Filed Jan 31, 2014 22:23 UTC
Borgmann Kevin S.Chief Risk Officer
SaleCommon Stock 2,866 $70.67 $202,540.22
Disclosure

SEC source: 0001225208-14-002966 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,952

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:18 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantStock Options · Derivative 108,944 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003159 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,944

Underlying: Common Stock · 108,944 shares

Expires 2024-01-29

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:18 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Grant2014 Restricted Stock Units · Derivative 40,076 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003159 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,076

Underlying: Common Stock · 40,076 shares

Expires 2017-02-15

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:18 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantCommon Stock 24,662 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003159 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,128,770

F1 · security: This restricted stock unit award will vest in full on February 15, 2017. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantStock Options · Derivative 47,046 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 4

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,046

Underlying: Common Stock · 47,046 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantRestricted Stock Units · Derivative 15,855 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 3

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,855

Underlying: Common Stock · 15,855 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:19 UTC
CRAWFORD STEPHEN SChief Financial Officer
Grant2014 Restricted Stock Units · Derivative 20,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,806

Underlying: Common Stock · 20,806 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 760 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 760 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantCommon Stock 23,962 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003160 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,962

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantStock Options · Derivative 29,783 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003161 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,783

Underlying: Common Stock · 29,783 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantRestricted Stock Units · Derivative 10,119 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003161 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,119

Underlying: Common Stock · 10,119 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Grant2014 Restricted Stock Units · Derivative 14,637 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003161 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,637

Underlying: Common Stock · 14,637 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 541 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 541 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 16,855 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003161 · 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: 127,291

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantStock Options · Derivative 29,964 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003162 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,964

Underlying: Common Stock · 29,964 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 8,752 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003162 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,752

Underlying: Common Stock · 8,752 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Grant2014 Restricted Stock Units · Derivative 12,068 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003162 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,068

Underlying: Common Stock · 12,068 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 425 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 425 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:20 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 15,262 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003162 · 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: 51,529

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Sanjiv YajnikPresident, Financial Services
GrantStock Options · Derivative 27,928 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003163 · doc4.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,928

Underlying: Common Stock · 27,928 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 9,485 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003163 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,485

Underlying: Common Stock · 9,485 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Sanjiv YajnikPresident, Financial Services
Grant2014 Restricted Stock Units · Derivative 13,780 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003163 · doc4.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,780

Underlying: Common Stock · 13,780 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 447 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 447 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 15,805 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003163 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,137

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Schneider Ryan M.President, Card
GrantStock Options · Derivative 37,934 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003164 · doc4.xml · derivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,934

Underlying: Common Stock · 37,934 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 11,599 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003164 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,599

Underlying: Common Stock · 11,599 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

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January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Schneider Ryan M.President, Card
Grant2014 Restricted Stock Units · Derivative 16,778 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003164 · doc4.xml · derivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,778

Underlying: Common Stock · 16,778 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 620 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 620 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 19,321 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003164 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,722

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantRestricted Stock Units · Derivative 3,209 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003165 · doc4.xml · derivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,209

Underlying: Common Stock · 3,209 shares

Expires 2015-02-15

F2 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F2 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F2 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

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January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantCommon Stock 8,139 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003165 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,316

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Borgmann Kevin S.Chief Risk Officer
GrantStock Options · Derivative 22,135 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,135

Underlying: Common Stock · 22,135 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Borgmann Kevin S.Chief Risk Officer
GrantRestricted Stock Units · Derivative 8,118 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,118

Underlying: Common Stock · 8,118 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Borgmann Kevin S.Chief Risk Officer
Grant2014 Restricted Stock Units · Derivative 9,785 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,785

Underlying: Common Stock · 9,785 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 362 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 362 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Borgmann Kevin S.Chief Risk Officer
GrantCommon Stock 11,274 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003166 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,226

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Slocum MichaelPresident, Commercial Banking
GrantStock Options · Derivative 24,404 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,404

Underlying: Common Stock · 24,404 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Slocum MichaelPresident, Commercial Banking
GrantRestricted Stock Units · Derivative 8,245 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,245

Underlying: Common Stock · 8,245 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Slocum MichaelPresident, Commercial Banking
Grant2014 Restricted Stock Units · Derivative 10,752 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,752

Underlying: Common Stock · 10,752 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 431 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 431 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 12,430 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003167 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,312

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Alexander Robert M.Chief Information Officer
GrantStock Options · Derivative 24,445 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0001225208-14-003168 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,445

Underlying: Common Stock · 24,445 shares

Expires 2024-01-29

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:21 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 7,850 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-003168 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,850

Underlying: Common Stock · 7,850 shares

Expires 2015-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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

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