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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

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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
January 31, 2013 Filed Feb 4, 2013 21:37 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 16,431 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002865 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,929

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantStock Options · Derivative 325,985 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002866 · 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: 325,985

Underlying: Common Stock · 325,985 shares

Expires 2023-01-30

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Grant2013 Restricted Stock Units · Derivative 38,841 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002866 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,841

Underlying: Common Stock · 38,841 shares

Expires 2016-02-10

F1 · 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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantStock Options · Derivative 34,611 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002867 · 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: 34,611

Underlying: Common Stock · 34,611 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantRestricted Stock Units · Derivative 12,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002867 · 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: 12,749

Underlying: Common Stock · 12,749 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Grant2013 Restricted Stock Units · Derivative 13,609 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002867 · 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: 13,609

Underlying: Common Stock · 13,609 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 20,619 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002867 · 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: 113,908

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Sanjiv YajnikPresident, Financial Services
GrantStock Options · Derivative 32,450 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002869 · doc4.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,450

Underlying: Common Stock · 32,450 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 11,950 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002869 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,950

Underlying: Common Stock · 11,950 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Sanjiv YajnikPresident, Financial Services
Grant2013 Restricted Stock Units · Derivative 12,759 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002869 · doc4.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,759

Underlying: Common Stock · 12,759 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 19,332 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002869 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,295

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
Witter Jonathan W.President, Retail Banking
GrantStock Options · Derivative 38,084 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002868 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,084

Underlying: Common Stock · 38,084 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
Witter Jonathan W.President, Retail Banking
GrantRestricted Stock Units · Derivative 11,719 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002868 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Underlying: Common Stock · 11,719 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
Witter Jonathan W.President, Retail Banking
Grant2013 Restricted Stock Units · Derivative 11,719 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002868 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Underlying: Common Stock · 11,719 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:39 UTC
Witter Jonathan W.President, Retail Banking
GrantCommon Stock 20,420 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002868 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,040

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Schneider Ryan M.President, Card
GrantStock Options · Derivative 35,269 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002870 · doc4.xml · derivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,269

Underlying: Common Stock · 35,269 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 14,613 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002870 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,613

Underlying: Common Stock · 14,613 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Schneider Ryan M.President, Card
Grant2013 Restricted Stock Units · Derivative 15,601 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002870 · doc4.xml · derivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,601

Underlying: Common Stock · 15,601 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 18,910 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002870 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,626

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Slocum MichaelPresident, Commercial Banking
GrantStock Options · Derivative 27,818 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,818

Underlying: Common Stock · 27,818 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Slocum MichaelPresident, Commercial Banking
GrantRestricted Stock Units · Derivative 8,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,150

Underlying: Common Stock · 8,150 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Slocum MichaelPresident, Commercial Banking
Grant2013 Restricted Stock Units · Derivative 9,844 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,844

Underlying: Common Stock · 9,844 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 14,915 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002872 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,285

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
PERLIN GARY LChief Financial Officer
GrantStock Options · Derivative 55,263 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 4

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,263

Underlying: Common Stock · 55,263 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
PERLIN GARY LChief Financial Officer
GrantRestricted Stock Units · Derivative 17,778 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,778

Underlying: Common Stock · 17,778 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
PERLIN GARY LChief Financial Officer
Grant2013 Restricted Stock Units · Derivative 19,556 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,556

Underlying: Common Stock · 19,556 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:40 UTC
PERLIN GARY LChief Financial Officer
GrantCommon Stock 29,630 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002871 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,713

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantStock Options · Derivative 32,603 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002874 · 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: 32,603

Underlying: Common Stock · 32,603 shares

Expires 2023-01-30

F5 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 10,494 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002874 · 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: 10,494

Underlying: Common Stock · 10,494 shares

Expires 2013-12-15

F3 · 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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Grant2013 Restricted Stock Units · Derivative 10,489 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002874 · 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: 10,489

Underlying: Common Stock · 10,489 shares

Expires not disclosed

F3 · 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 twenty trading days preceding the vesting date.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 17,481 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002874 · 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: 76,991

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:44 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantCommon Stock 7,769 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002875 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,402

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

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
January 31, 2013 Filed Feb 4, 2013 21:45 UTC
Berson Jory AChief Human Resources Officer
GrantStock Options · Derivative 34,110 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,110

Underlying: Common Stock · 34,110 shares

Expires 2023-01-30

F5 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:45 UTC
Berson Jory AChief Human Resources Officer
GrantRestricted Stock Units · Derivative 10,974 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,974

Underlying: Common Stock · 10,974 shares

Expires 2013-12-15

F3 · 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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:45 UTC
Berson Jory AChief Human Resources Officer
Grant2013 Restricted Stock Units · Derivative 12,071 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,071

Underlying: Common Stock · 12,071 shares

Expires not disclosed

F3 · 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 twenty trading days preceding the vesting date.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:45 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 18,289 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002876 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,818

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:55 UTC
Borgmann Kevin S.Chief Risk Officer
GrantRestricted Stock Units · Derivative 7,387 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002882 · doc4.xml · derivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,387

Underlying: Common Stock · 7,387 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:55 UTC
Borgmann Kevin S.Chief Risk Officer
Grant2013 Restricted Stock Units · Derivative 7,038 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002882 · doc4.xml · derivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,038

Underlying: Common Stock · 7,038 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 4, 2013 21:55 UTC
Borgmann Kevin S.Chief Risk Officer
GrantCommon Stock 14,532 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002882 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,030

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 31, 2013 Filed Feb 13, 2013 00:15 UTC
SCHNALL PETER AChief Risk Officer
GrantStock Options · Derivative 33,462 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 4

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,462

Underlying: Common Stock · 33,462 shares

Expires 2023-01-30

F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

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January 31, 2013 Filed Feb 13, 2013 00:15 UTC
SCHNALL PETER AChief Risk Officer
GrantRestricted Stock Units · Derivative 12,665 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,665

Underlying: Common Stock · 12,665 shares

Expires 2013-12-15

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 twenty trading days preceding the vesting date.

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January 31, 2013 Filed Feb 13, 2013 00:15 UTC
SCHNALL PETER AChief Risk Officer
Grant2013 Restricted Stock Units · Derivative 13,931 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,931

Underlying: Common Stock · 13,931 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 twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

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January 31, 2013 Filed Feb 13, 2013 00:15 UTC
SCHNALL PETER AChief Risk Officer
GrantCommon Stock 17,942 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-003859 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,085

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,071 $56.32 $116,638.72
Disclosure

SEC source: 0001225208-13-002394 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,498

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 27, 2010. This is authorized in the applicable restricted stock award agreement.

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,718 $56.32 $153,077.76
Disclosure

SEC source: 0001225208-13-002393 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,529

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 27, 2010. This is authorized in the applicable restricted stock award agreement.

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,228 $56.32 $125,480.96
Disclosure

SEC source: 0001225208-13-002396 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,510

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 27, 2010. This is authorized in the applicable restricted stock award agreement

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionRestricted Stock Units · Derivative 136,799 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002395 · 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: 0

Underlying: Common Stock · 136,799 shares

Expires 2013-01-27

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 January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: On January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date.

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Disposition to issuerCommon Stock 136,799 $59.86 $8,188,788.14
Disclosure

SEC source: 0001225208-13-002395 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,566,779

F1 · price: On January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date.

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 136,799 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-002395 · 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: 2,703,578

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 January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date.

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

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January 27, 2013 Filed Jan 29, 2013 22:26 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 4,637 $56.32 $261,155.84
Disclosure

SEC source: 0001225208-13-002399 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,716

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 27, 2010. This is authorized in the applicable restricted stock award agreement.

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