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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
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionRestricted Stock Units · Derivative 7,938 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002534 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,877

Underlying: Common Stock · 7,938 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 7,938 $45.81 $363,639.78
Disclosure

SEC source: 0001225208-12-002534 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,151

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 7,938 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002534 · 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: 236,089

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
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 5,527 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,056

Underlying: Common Stock · 5,527 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
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 5,527 $45.81 $253,191.87
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,781

F3 · balance_after: Includes shares acquired by the reporting person through a broker sponsored dividend reinvestment plan.

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,950 $45.61 $88,939.50
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,308

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
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 5,527 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002533 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,258

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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 4,597 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002535 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,195

Underlying: Common Stock · 4,597 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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 4,597 $45.81 $210,588.57
Disclosure

SEC source: 0001225208-12-002535 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,152

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,943 $45.61 $88,620.23
Disclosure

SEC source: 0001225208-12-002535 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,749

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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 4,597 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002535 · 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: 57,692

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
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 7,249 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

Underlying: Common Stock · 7,249 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.

F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F7 · 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
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 7,249 $45.81 $332,076.69
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,326

Read SEC document
January 26, 2012 Filed Jan 31, 2012 00:59 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,224 $45.61 $101,436.64
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,575

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
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 7,249 $0.00 $0.00
Disclosure

SEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,799

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 16,426 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026605 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,426 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 16,426 $43.41 $713,052.66
Disclosure

SEC source: 0001225208-11-026605 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,265

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 16,426 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026605 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,691

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 12,651 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026606 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,651 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 12,651 $43.41 $549,179.91
Disclosure

SEC source: 0001225208-11-026606 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,441

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 12,651 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026606 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,092

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionRestricted Stock Units · Derivative 18,155 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026607 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,155 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 18,155 $43.41 $788,108.55
Disclosure

SEC source: 0001225208-11-026607 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,151

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 18,155 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026607 · 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: 246,306

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 10,595 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026608 · 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: 0

Underlying: Common Stock · 10,595 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 10,595 $43.41 $459,928.95
Disclosure

SEC source: 0001225208-11-026608 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,095

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 10,595 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026608 · 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: 63,690

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 17,756 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026610 · doc4.xml · derivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,756 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
SCHNALL PETER AChief Risk Officer
Disposition to issuerCommon Stock 17,756 $43.41 $770,787.96
Disclosure

SEC source: 0001225208-11-026610 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,151

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionCommon Stock 17,756 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026610 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,907

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 33,063 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026609 · doc4.xml · derivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,063 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
PERLIN GARY LChief Financial Officer
Disposition to issuerCommon Stock 33,063 $43.41 $1,435,264.83
Disclosure

SEC source: 0001225208-11-026609 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,454

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionCommon Stock 33,063 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026609 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,517

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 17,730 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026611 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,730 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 17,730 $43.41 $769,659.30
Disclosure

SEC source: 0001225208-11-026611 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,575

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 17,730 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026611 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,305

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 7,996 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026612 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,996 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 7,996 $43.41 $347,106.36
Disclosure

SEC source: 0001225208-11-026612 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,792

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 7,996 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026612 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,788

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 10,875 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026613 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,875 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 10,875 $43.41 $472,083.75
Disclosure

SEC source: 0001225208-11-026613 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 10,875 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026613 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,475

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 12,645 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026614 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,645 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 12,645 $43.41 $548,919.45
Disclosure

SEC source: 0001225208-11-026614 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,208

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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 12,645 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026614 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,853

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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversionRestricted Stock Units · Derivative 19,160 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-026615 · doc4.xml · derivative · entry 4

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,160 shares

Expires 2011-12-15

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

F1 · derivative.exercise_price: On December 15, 2011, 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 December 15, 2011, 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
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Pike Lynn AnnPresident, Banking
Disposition to issuerCommon Stock 19,160 $43.41 $831,735.60
Disclosure

SEC source: 0001225208-11-026615 · doc4.xml · nonDerivative · entry 2

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,744

F2 · balance_after: Excludes 7,801 shares previously owned directly which were transfered into a family trust on October 26, 2011.

Read SEC document
December 15, 2011 Filed Dec 19, 2011 22:03 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversionCommon Stock 19,160 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026615 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,904

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 December 15, 2011, 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
October 31, 2011 Filed Dec 21, 2011 23:53 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GiftCommon Stock 8,570 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-026794 · 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: 2,479,290

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
September 05, 2011 Filed Sep 7, 2011 21:07 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 8,289 $42.28 $350,458.92
Disclosure

SEC source: 0001225208-11-021540 · doc4.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,452

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the restricted stock granted on January 29, 2009, as a result of the reporting person's eligibility for retirement. This is authorized in the applicable grant 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.