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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

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
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 28,564 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · derivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,564

Underlying: Common Stock · 28,564 shares

Expires not disclosed

F6 · 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.

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

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

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
GrantPerformance Share Units · Derivative 34,912 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · derivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,912

Underlying: Common Stock · 34,912 shares

Expires 2015-03-15

F5 · derivative.exercise_price: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

F5 · derivative.exercise_date: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
Exercise / conversion2009 Performance Share Units · Derivative 24,935 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · derivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,935 shares

Expires 2012-03-15

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.

F4 · derivative.exercise_price: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F4 · derivative.exercise_date: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 11,321 $45.75 $517,935.75
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,780

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 for the January 29, 2009 grant. This is authorized in the performance share award agreement.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 24,935 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,101

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 · security: These performance shares for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. 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
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 29,093 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002916 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,166

F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
GrantStock Options · Derivative 29,304 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · derivative · entry 10

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,304

Underlying: Common Stock · 29,304 shares

Expires 2022-01-30

F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 11,033 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · derivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,033

Underlying: Common Stock · 11,033 shares

Expires 2012-12-15

F6 · 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, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 18,915 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,915

Underlying: Common Stock · 18,915 shares

Expires not disclosed

F6 · 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.

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

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

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
GrantPerformance Share Units · Derivative 21,018 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · derivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,018

Underlying: Common Stock · 21,018 shares

Expires 2015-03-15

F5 · derivative.exercise_price: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

F5 · derivative.exercise_date: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2009 Performance Share Units · Derivative 18,470 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,470 shares

Expires 2012-03-15

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.

F4 · derivative.exercise_price: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F4 · derivative.exercise_date: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 7,795 $45.75 $356,621.25
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,061

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 for the January 29, 2009 grant. This is authorized in the performance share award agreement.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 17,514 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,856

F2 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:19 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 18,470 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002917 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,342

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

F1 · security: These performance shares for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. 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
January 31, 2012 Filed Feb 2, 2012 22:24 UTC GrantStock Options · Derivative 2,716 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-12-002921 · doc4.xml · derivative · entry 2

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,716

Underlying: Common Stock · 2,716 shares

Expires 2022-01-30

Read SEC document
January 31, 2012 Filed Feb 2, 2012 22:24 UTC GrantRestricted Stock Units · Derivative 1,240 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002921 · doc4.xml · derivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,240

Underlying: Common Stock · 1,240 shares

Expires not disclosed

F1 · derivative.exercise_date: These restricted stock units will vest in full on the first anniversary of the date of grant.

F1 · derivative.expiration_date: These restricted stock units will vest in full on the first anniversary of the date of grant.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 11,907 $46.05 $548,317.35
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · nonDerivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,073

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 12,245 $46.05 $563,882.25
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,070

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 14,221 $46.05 $654,877.05
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 5

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,366

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

F5 · balance_after: The amount held was corrected to report the total beneficial holding of the reporting person.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 21,058 $46.05 $969,720.90
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 5

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,342

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 8,895 $46.05 $409,614.75
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,872

F5 · 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 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 8,647 $46.05 $398,194.35
Disclosure

SEC source: 0001225208-12-002535 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,338

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2012 Filed Jan 31, 2012 00:59 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 14,149 $46.05 $651,561.45
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,477

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 29, 2009. This is authorized in the applicable restricted stock award agreement.

F5 · 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 27, 2012 Filed Jan 31, 2012 00:59 UTC
Blackley Richard ScottPrincipal Accounting Officer
SaleCommon Stock 988 $45.86 $45,309.68
Disclosure

SEC source: 0001225208-12-002527 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,129

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 4,503 $46.05 $207,363.15
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,980

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.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,867 $46.05 $132,025.35
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,315

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.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 4,049 $46.05 $186,456.45
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 4

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,587

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.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 5,293 $46.05 $243,742.65
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 4

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,400

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.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,014 $46.05 $92,744.70
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,767

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

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,167 $46.05 $99,790.35
Disclosure

SEC source: 0001225208-12-002535 · 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: 48,985

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.

Read SEC document
January 27, 2012 Filed Jan 31, 2012 00:59 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,700 $46.05 $124,335.00
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,626

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.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 6,705 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002528 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,413

Underlying: Common Stock · 6,705 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 January 26, 2012, 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 January 26, 2012, 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 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F2 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 6,705 $45.81 $307,156.05
Disclosure

SEC source: 0001225208-12-002528 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,208

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 6,705 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002528 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,913

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 26, 2012, 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
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 7,974 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · derivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,949

Underlying: Common Stock · 7,974 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 January 26, 2012, 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 January 26, 2012, 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 7,974 $45.81 $365,288.94
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,483

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 3,092 $45.61 $141,026.12
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,457

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 26, 2011. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 7,974 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002530 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,549

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 26, 2012, 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
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 4,077 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · derivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,157

Underlying: Common Stock · 4,077 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 January 26, 2012, 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 January 26, 2012, 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 4,077 $45.81 $186,767.37
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,182

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,610 $45.61 $119,042.10
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,259

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 26, 2011. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 4,077 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,869

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 26, 2012, 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
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 8,119 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · derivative · entry 6

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,239

Underlying: Common Stock · 8,119 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 January 26, 2012, 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 January 26, 2012, 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 January 26, 2012 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Disposition to issuerCommon Stock 8,119 $45.81 $371,931.39
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,636

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 2,490 $45.61 $113,568.90
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,755

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 26, 2011. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionCommon Stock 8,119 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,245

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 26, 2012, 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
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 11,743 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · derivative · entry 6

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,489

Underlying: Common Stock · 11,743 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 January 26, 2012, 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 January 26, 2012, 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Disposition to issuerCommon Stock 11,743 $45.81 $537,946.83
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,693

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 3,761 $45.61 $171,539.21
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,436

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 26, 2011. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionCommon Stock 11,743 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,197

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 26, 2012, 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

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